ORTH CAROLINA
REGISTER
VOLUMIll • ISSIJE2« Pages 171 -26g
July 15, 1998
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The Office of Administrative Hearings
Rules Division
PO Drawer 27447
Raleifih, NC 27611-7447
Telephone (919) 733-2678
Fax (919) 733-3462
This publication is primed on permanent, acid-free paper in compliance with G.S. 125-11. 13
For those persons that have questions or concerns regarding the Administrative Procedure Act or any of it
components, consult with the agencies below. The bolded headings are typical issues which the give
agency can address, but are not inclusive.
Rule Notices, Filings, Register. Deadlines, Copies of l*foposed Rules, etc.
Office of Administrative Hearings
Rules Division j „-
Capehart-Crockef House
424 North Blount Street
Raleigh, North Gstroliria 2760 1-281 7
contact: Molly Masich, Director APA Services
Ruby Creech, Publications Coordinator
(919) 733-2678
(919) 733-34^2 JF AX
mniasich@oah.state.nc.us
rcreech@oah.state.nc.us
Fiscal Notes &lEconomic Analysis
Office of State Budget and Management
116 West Jones Street
Raleigh, North Carolina 27603-8005
contact: Mark Sisak, Economist III
Anna Tefft, Economist II
Rule Review and Legal Issues
Rules Review Commission
1307 Glenwood Ave., Suite 159
Raleigh, North Carolina 27605
contact Joe DeLuca Jr., StafT Director Counsel
Bobby Bryar. Staff Attorney
(919)733-7061
(919) 733-0640 FAX
msisak@osbm.state.nc.us
ateffl@osbm.state.nc.us
(919)733-2721
(919) 733-9415 FAX
Legislative Process Concerning Rule Making
Joint Legislative Administrative Procedure Oversight Committee
545 Legislative Office Building
300 North Salisbury Street (919) 733-2578
Raleigh, North Carolina 2761 1 (9 1 9) 71 5-5460 FAX
contact: Mary Shupidg, Staff Liaison
marys@ms.ncga.state.nc.us
County and Municipality Government Questions or Notification
NC Association of County Commissioners
2 1 5 North Dawson Street (9 1 9) 7 1 5-2893
Raleigh, North Carolina 27603
contact: Jim Blackburn or Rebecca Troutman
NC League of Municipalities
2 1 5 North Dawson Street
Raleigh, North Carolina 27603
contact: Paula Thomas
(919)715-4000
This piihlicaiion is printed on permanent, acid-free paper in compliance with G.S. 125-11. 13
NORTH CAROLINA
REGISTER
Volume 13, Issue 2
Pages 171 - 260
July 15, 1998
This issue contains documents officially filed
through June 23, 1998.
Office of Administrative Hearings
Rules Division
424 North Blount Street (27601 )
PO Drawer 27447
Raleigh, NC 2761 1-7447
(919)733-2678
FAX (919) 733-3462
Julian Mann III, Director
Camille Winston, Deputy Director
Molly Masich, Director of APA Services
Ruby Creech, Publications Coordinator
Jean Shirley, Editorial Assistant
Linda Dupree, Editorial Assistant
IN THIS ISSUE
I. IN ADDITION
Health and Human Services
Public Notice Draft 1999 State Medical
Facilities Plan 171-172
Voting Rights Letters 1 73 - 1 74
II. RULE-MAKING PROCEEDINGS
Administration
Indian Affairs, State Commission of 1 75
Environment and Natural Resources
Coastal Management 1 76 - 1 77
Health and Human Services
Medical Assistance 175-176
Labor
Occupational Safety and Health 1 76
IH. PROPOSED RULES
Environment and Natural Resources
Environmental Health 235 - 244
Water Pollution Control System Operator
Certification Commission 204 - 234
Health and Human Services
Facility Services 178-198
Health Services 234 - 235 & 244 - 246
Secretary of Health and
Human Services 198 - 200 & 203 - 204
Social Services Commission 200 - 203
Licensing Boards
Cosmetic Art Examiners 246
Pharmacy, Board of 246 - 247
IV. TEMPORARY RULES
Health and Human Services
Medical Assistance 248
V. APPROVED RULES 249-251
Agriculture
Structural Pest Control Division
Environment and Natural Resources
Wildlife Resources Commission
Health and Human Services
Social Services
Licensing Boards
Substance Abuse Professionals, Certification Board
VI. RULES REVIEW COMMISSION 252-254
VII. CONTESTED CASE DECISIONS
Index to ALJ Decisions 255 - 256
Text of Selected Decisions
97 OSP 1586 257-259
VIH. CUMULATIVE INDEX 1-47
North Carolina Register is published semi-monthly for $195 per year by the Office of Administrative Hearings. 424 North Blount Street, Raleigh. NC
27601 , Application to mail at Periodicals Rates is pending at Raleigh, NC POSTMASTER: Send Address changes to the North Carolina Register.
PO Drawer 27447. Raleigh. NC 2761 1-7447.
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IN ADDITION
This Section contains public notices that are required to be published in the Register or have been approved by the Codifier of
Rules for publication.
PUBLIC NOTICE
Citizens are invited to attend public hearings on the Draft 1999 State Medical Facilities Plan to be conducted by the North Carolina
State Health Coordinating Council (SHCC) at the following times and locations:
Greenville
July 13, 1998
{Monday)
1:30
■2:30 p.m.
The Willis Building
East Carolina University
300 East First Street
Greenville, NC 27858-4356
Charlotte
July 14, 1998
(Tuesday)
1:30
-2:30 p.m.
Mercy Hospital
Auditorium
2001 Vail Avenue
Charlotte, NC
Greensboro
July 15, 1998
(Wednesday)
1:30
-2:30 p.m.
Council of Governments
Koger Office Ctr. (near Howard Johnson 's)
2216 W. Meadowview Road
Suite 201, Wilmington Building
(2nd Floor Conference Room)
Greensboro, NC 27407-3480
Asheville
July 16, 1998
(Thursday)
1:30
-2:30 p.m.
MAHEC
501 Biltmore Avenue
Second Floor
Asheville, NC 28801-4686
Wilmington
July 17, 1998
(Friday)
1:30
-2:30 p.m.
Coastal AHEC
New Hanover Regional Med. Ctr.
Auditorium ~ Ground Floor
2131 S. 17th Street
Wilmington, NC
Raleigh
July 21, 1998
(Tuesday)
1:30
-2:30 p.m.
Public Health Center
Auditorium
10 Sunnybrook Road
(Comer of New Bern Ave. & Sunnybrook Rd.)
Raleigh, NC
All persons commenting on the Draft Plan at the public hearings are asked to supply WRITTEN COPIES of their remarks .
Persons with disabilities who need assistance to participate in the public hearing are requested to notify the Medical Facilities Planning
Section in advance so that reasonable accommodations can be arranged.
The State Medical Facilities Plan projects need for acute care hospital beds, rehabilitation facilities and beds, ambulatory surgery
facilities and operating rooms, technology services and equipment, nursing care beds, home health agencies, kidney dialysis stations,
hospice home care programs and inpatient beds, psychiatric hospitals, substance abuse treatment facilities, and intermediate care
facilities for the mentally retarded. NOTE : After the need determinations and policies are adopted by the SHCC and approved
13:2
NORTH CAROLINA REGISTER
July 15, 1998
171
IN ADDITION
by the Governor, they will be incorporated in Administrative Procedure Act Rules for the 1999 State Medical Facilities Plan .
Persons wishing to review or purchase the Draft 1999 State Medical FaciHties Plan or who want information about the Plan or the
series of public hearings nia> call 919-733-4130. or write to: Medical Facilities Planning Section. Division of Facilitv' Services. P.
O. Box 29530. Raleigh. NC 27626-0530. Inquiries ma\ be made to this same address about comments or petitions received regarding
the Draft Plan. Copies of the Draft Plan will also be made available to all Area Health Education Centers and to all Lead Regional
Organizations (Councils of Government) in the State. ALL WRITTEN COMMENTS AND PETITIONS ON THE DRAFT 1999
STATE MEDICAL FACILITIES PLAN MUST BE RECEIVED BY JULY 2L 1998 .
172 NORTH CAROLINA REGISTER July 15, 1998 13:2
IN ADDITION
U.S. Department of Justice
Civil Rights Division
EJ:DHH:KIF:jng Voting Section
DJ 166-012-3 PO. Box 66128
98- 1 424 Washington. D. C 20035-6128
98-1761
Junes, 1998
David A. Holec, Esq.
City Attorney
P.O. Box 7207
Greenville, North Carolina 27835-7207
Dear Mr. Holec:
This refers to ten annexations (Ordinance Nos. 4, 5, 6, 18, 1 9, 20, 30, 3 1 , 32, and 33(1 998)) and their designation to districts
of the City of Greenville in Pitt County. North Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights
Act, 42 U.S.C. 1973c. We received your submissions on April 7 and May 1 1, 1998.
The Attorney General does not interpose any objection to the specified changes. However, we note that Section 5 expressly
provides that the failure of the Attorney General to object does not bar subsequent litigation to enjoin the enforcement of the changes.
In addition, as authorized by Section 5, we reserve the right to reexamine these submissions if additional information that would
otherwise require an objection comes to our attention during the remainder of the sixty-day review period. See the Procedures for
the Administration of Section 5 (28 C.F.R. 51.41 and 51.43).
Sincerely,
Elizabeth Johnson
Chief, Voting Section
13:2 NORTH CAROLINA REGISTER July 15, 1998 173
IN ADDITION
U.S. Department of Justice
Civil Rights Division
Washington, D.C. 20035-6128
Office of the Attorney General
June 8, 1998
Mr. Gary O. Bartlett
Executive Secretary-Director
North Carolina State Board of Elections
P.O. Box 2169
Raleigh, North Carolina 27602
Dear Mr. Bartlett:
This refers to NC Sess. Law 1998-2 (House Bill 1394), which provides for the 1998 congressional redistricting plan for the
State of North Carolina, submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act, 42 U.S.C. 1973c. We
received your submission on May 22, 1998. supplemental information was received on May 26 and 29, 1998.
The Attorney General does not interpose any objection to the specified change. However, we note that Section 5 expressly
provides that the failure of the Attorney General to object does not bar subsequent litigation to enjoin the enforcement of the change.
In addition, as authorized by Section 5, we reserve the right to reexamine this submission if additional information that would
otherwise require an objection comes to our attention during the remainder of the sixty-day review period. See the Procedures for
the Administration of Section 5 (28 C.F.R. 5 1 .4 1 and 5 1 .43).
Since the Section 5 status of the 1998 congressional redistricting plan is before the court in Cromartie v. Hunt , CA No. 4:
96-CV-104-BO(3), we are providing a copy of this letter to the court and counsel of record in that case.
Sincerely,
William R. Yeomans
Acting Assistant Attorney General
Civil Rights Division
cc: The Honorable Sam J. Ervin. Ill
The Honorable Terrence W. Bo>le
The Honorable Richard L. Voorhees
Counsel of Record
174
NORTH CAROLINA REGISTER
July 15, 1998
13:2
I
RULE-MAKING PROCEEDINGS
A Notice of Rule-making Proceedings is a statement of subject matter of the agency's proposed rule making. The agency
must publish a notice of the subject matter for public comment at least 60 days prior to publishing the proposed text of a
rule. Publication of a temporary rule serves as a Notice of Rule-making Proceedings and can be found in the Register under
the section heading of Temporary Rules. A Rule-making Agenda published by an agency serves as Rule-making Proceedings
andean be found in the Register under the section heading of Rule-making Agendas. Statutory reference: G.S. 150B-21.2.
TITLE 1 - DEPARTMENT OF ADMINISTRATION
CHAPTER 15 - COMMISSION OF INDIAN AFFAIRS
A Totice of Rule-making Proceedings is hereby given by the
J. V North Carolina State Commission of Indian Affairs in
accordance with G.S. I50B-2L2. The agency shall subsequently
publish in the Register the text of the rule(s) it proposes to adopt
as a result of this notice of rule-making proceedings and any
comments received on this notice.
Citation to Existing Rules AfTected by this Rule-Making: /
NCAC 15 .0201 - .0214. Other rules may be proposed in the
course of the rule-making process.
Authority for the rule-making: G.S 143B-406: 150B-16
Statement of the Subject Matter: The Commission desires to
amend the procedures used to recognize Indian groups in North
Carolina. The membership of the Commission desires to delete
a provision which provides for the recognition of Indian
"organizations " in North Carolina.
Reason for Proposed Action: In the United States. Indian
tribes have had special relationships with state and federal
governments. State recognition is the state government's
acknowledgment of an interrelated Indian people's historic
existence as a tribe, identified as a separate and distinct group,
exercising social, political, or economic influence over its
people. Tribal representatives hcn'e expressed the concern that
official recognition of mere "organizations " threatens tribal
status and sovereignty as they presently exist.
Comment Procedures: .411 written comments should be made
to Mr. Gregory- A. Richardson. Executive Director of the NC
State Commission of Indian .Affairs, at the Commission Offices,
217 West Jones Street, Raleigh. NC 27603-1336. Telephone
(919) 733-5998.
TV Totice of Rule-ntaliing Proceedings is hereby given by the
J. V DHHS - Division of Medical Assistance in accordance with
G.S. 150B-21.2. The agency shall subsequently publish in the
Register the text of the rule(s) it proposes to adopt as a result of
this notice of rule-making proceedings and any comments
received on this notice.
Citation to Existing Rules Affected by this Rule-Making: 10
NCAC 261 .0101: 26M .0305. Other rules may be proposed in
the course of the rule-making process.
Authority for the rule-making: G.S 108A-25(b); 108A-54;
108A-55: SL. 1993, c. 321, s. 222(g): 42 C.F.R. 431: 42 C.F.R.
456
Statement ofthe Subject Matter: 10 NCAC 261 .0101 -This
Rule specifies the policies and procedures to provide for
attending physician requests for reconsideration and recipient
requests for appeal of decisions changing a recipient's or a
Medicaid applicant's level of care, denial or modification of
prior approval requests or denial of other medical services. 10
NCAC 26M.0305 - This Rule states the appeals procedures for
enrollee and sub-contractors to follow in the Carolina
Alternatives program.
Reason for Proposed Action: Carolina Alternatives capitation
fee includes administrative cost. These cost include hearing
procedures. .Area Program's contract directly v.ith the Division
of Mental Health. Developmental Disabilities, Substance Abuse
Services: therefore, it would be inappropriate to hold the
hearing at the Division of Medical Assistance.
Comment Procedures: Written comments concerning these
rule-making actions must be submitted to Portia W. Rochelle,
Rule-making Coordinator. Division of Medical Assistance, 1985
Umstead Drive, Raleigh. NC 27603.
■k -k ir -k -k
XXXXWW5CWWX
TITLE 10 - DEPARTMENT OF HEALTH
AND HUMAN SERVICES
CHAPTER 26 - MEDICAL ASSISTANCE
SUBCHAPTER 261 - APPEALS PROCEDURES
SUBCHAPTER 26M - MANAGED CARE
AND PREPAID PLANS
CHAPTER 50 - MEDICAL ASSISTANCE
SUBCHAPTER 50B - ELIGIBILITY
DETERMINATION
TV Totice of Rule-making Proceedings is hereby given by the
J. V DHHS - Division of Medical Assistance in accordance with
G.S. 150B-21.2. The agency shall subsequently publish in the
Resister the text ofthe rule(s) it proposes to adopt as a result of
this notice of rule-making proceedings and any comments
received on this notice.
13:2
NORTH CAROLINA REGISTER
July 15, 1998
175
RULE-MAKING PROCEEDINGS
Citation to Existing Rules Affected by this Rule-Making: 10
SCAC SOB .0302. .0313. Other rules may be proposed in the
course of the rule-making process.
Authority for the rule-making: G.S. 108A-25(bl: 108.4-54:
108A-61: 42 C.F.R. 435.135: 42 C.F.R. 435.402: 42 C.F.R.
435.'31: 42 C.F.R. 4 3 5. '32: 42 C.F.R. 435.^33: 42 C.F.R.
435.812: 42 C.F.R. 435.831: 42 C.F.R. 435.832: 42 C.F.R.
435.100': 45 C.F.R. 233.20: 8 U.S.C. 1161: 8 U.S.C. 1255a: 42
U.S.C. 1383c(h): 42 U.S.C. 1383cldj: 42 U.S.C. 1396bfv): P.L
99-272; Section 12202: Alexander v. Flaherty Consent Order
Filed Februaiy 14. 1992
Statement of the Subject Matter: 10 NCAC SOB .0302 - This
Rule defines aliens M'ho are eligible far Medicaid. 10 SCAC
SOB .0313 - This Rule authorizes a S50.00 child support
deduction from countable unearned income.
Reason for Proposed Action: 10 SCAC SOB. 0302 - P.L. 104-
93 defines "qualified" aliens who are eligible for Medicaid.
Former categories of eligible aliens, such as PRUCOL aliens,
are now ineligible for full Medicaid. This change will identif-
"Qualified" aliens who are eligible for full Medicaid based on
federal la^v. 10 NCAC SOB .0313 - To comply with CFR
435.601 fbj which requires the financial methodologies for
determining financial eligibility for family and children's
Medicaid cases be based on the state 's Title 11 '-A policy. This
change will exclude first S50.00 in child support received each
month for each child in the budget unit.
Comment Procedures: Written comments concerning these
rule-making actions must be submitted to Portia W. Rochelle.
Rule-making Coordinator. Division of Medical .Assistance. 1985
Umstead Drive. Raleigh. SC 2'603.
TITLE 13 - DEPARTMENT OF LABOR
CHAPTER 7 - OFFICE OF OCCUPATIONAL SAFETY
AND HEALTH
'KTotice of Rule-making Proceedings is hereby given by the
1 V Department of Labor. Division of Occupational Safety and
Health in accordance with G.S. 150B-21.2. The agency shall
subsequently publish in the Register the text of the rule(s) it
proposes to adopt as a result of this notice of rule-making
proceedings and any comments received on this notice.
Citation to Existing Rules Affected by this Rule-Making:
13 \C.4C O'F. Standards. Other rules may be proposed in the
course of the rule-making process.
Authority for the rule-making: G.S. 95-4: 95-131
Statement of the Subject Matter: The AC. Division of
Occupational Scifety and Health is considering the development
of rules to protect workers from developing occupationally
derived cumulative trauma disorders. It is the goal of the
Division to develop rules that will be protective of all workers,
put employers on notice as to what is expected of them, and
provide employers with the flexibility to deal with varying
workplace conditions and rapid technology changes. The
Division is seeking comments regarding the development and
implementation of the rules, including, but not limited to. the
scope and form the rules should take, information regarding the
development and implementation of effective ergonomics
programs, and information regarding implementation time
frames.
Reason for Proposed Action: To protect workers from
developing occupationally derived cumulative trauma disorders.
Comment Procedures: The purpose of this announcement is to
encourage all interested and potentially affected persons or
parties to make their vie^vs known to the Division of
Occupational Health and Safety (OSH) whether in fa\-or of or
opposed to any and all provisions of the proposal being noticed.
In addition to tire acceptance of written comments, informational
hearings will be held at five locations across the state to solicit
comments and recommendations. There will be an afternoon
(2pm-4pm) and an e\-ening (6pm-8pm) session at each location.
The dates and locations are .August 1' at Forsyth Technical
CommuniTy College. Ardmore Hall .Auditorium. 2100 Silas
Creek Parkway. Winston-Salem. SC 2'103: August 18 at
.Asheville-Buncombe Technical Community College, 340
Victoria Road. .Asheville. SC 28801: August 20 at Johnson C
Smith University. Biddle Auditorium. 100 Beatties Ford Road.
Charlotte. NC 28216 (park in lot marked GYL): August 25 at
Fort Fisher Aquarium. Auditorium. 2201 Fort Fisher Blvd.. S.
Kure Beach. A'C 28449 and August 2" at the .Archdale Building,
Hearing Room ^FHR. 512 \. Salisbury Street. Raleigh. NC
28604. Depending on the size oftlie group attending a hearing,
public comments may be limited. Speakers will be heard in the
order in which they are registered to speak. Written comments,
data, or other information relevant to this proposal must be
submitted within 60 days— September 14, 1998. Written
comments may be submitted to .Angela S. Waldorf Division of
Occupational Safety and Health, 319 Chapanoke Road, Suite
105, Raleigh. A'C 2 '603-3432. fax number (919l 662-4582.
Requests for additional information regarding the hearings or
to pre-register to speak at a hearing should be directed to Peggy-
D. Morris at Division of Occupational Safety and Health, 319
Chapanoke Road Suite 105, Raleigh. NC 2' 603-3432,
telephone number (919) 662-458! or 1-800-LABORSC.
TITLE ISA - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
CHAPTER 7 - COASTAL MANAGEMENT
A Totice of Rule-making Proceedings is hereby given by the
1 V E.\R-Coastal Resources Commission in accordance with
G.S. 1 50B-21.2. The agency shall subsequently publish in the
Register the text of the ruletsi it proposes to adopt as a result of
176
NORTH CAROLINA REGISTER
July 15, 1998
13:2
RULE-MAKING PROCEEDINGS
this notice of rule-making proceedings and any comments
received on this notice.
Citation to Existing Rules Affected by this Rule-Making:
15A NCAC 70.0105 and. 0202. Other rules may be proposed
in the course of the rule-making process.
Authority for the rule-making: G.S. 1 13-3; 113-8; 143B-10
Statement of the Subject Matter: Adding new reserve
components Bald Head Woods and Kitty Hawk Woods and
recognizing local hunting laws and ordinances.
Reason for Proposed Action: The proposed rule will include
new reserve components Bald Head Woods and Kitty Hawk
Woods as part of the North Coastal Reserve and will include
recognition of local hunting laws in addition to state hunting
laws.
Comment Procedures: Contact John Taggart, 7205
Wrightsville Avenue. Wilmington, NC 28403. (910) 256-3721
ext. 243.
13:2
NORTH CAROLINA REGISTER
July 15, 1998
177
PROPOSED RULES
This Section contains the text of proposed rules. At least 60 days prior to the publication of text, the agency published a
\otice of Rule-making Proceedings. The agency must accept comments on the proposed rule for at least 30 days from the
publication date, or until the public hearing, or a later date if specified in the notice by the agency. The required comment
period is 60 days for a rule that has a substantial economic impact of at least five million dollars (55,000,000). Statutory
reference: G.S. 1508-21.2.
TITLE 10 - DEPARTMENT OF HEALTH AND HUMAN SERVICES
Notice is hereby given in accordance with G.S. I50B-21.2 that the Department of Health and Human Services. Division of Facility
Services intends to adopt the rules cited as 10 NC.4C 3R .6101-. 6141 and amend the rule cited as 10 NCAC 3R .3051. Notice
of Rule-making Proceedings was published in the Register on January 2. 1998.
Proposed Effective Date: April 1. 1999
A Public Hearing will be conducted at 10:00 a.m. on September 14, 1998 at the Council Building, Room 201, 701 Barbour Drive,
Raleigh. NC 2^603.
Reason for Proposed Action: To adopt as permanent rules the temporary version of the rules for the 1998 State Medical Facilities
Plan.
Comment Procedures: .Anyone wishing to comment on these proposed rules should contact Jackie Sheppard, APA Coordinator,
Division of Facility Sen-ices. "01 Barbour Drive. Raleigh. A'.C. 2''603. (919) '33-2342.
Fiscal Note: These Rules. 10 .\C.4C 3R .610'. .6112. .6120-. 6124 and .6129. do affect the expenditures or revenues of local and
State funds. These Rules do ha\-e a substantial economic impact of at least five million dollars ($5,000,000) in a 12-month period.
Fiscal Note: These Rules. 10 \C.4C 3R .3051. .6101-.6106. .6108-.6111. .6113-.6119. .6125-.6128. .61 30-. 6141. do not affect the
expenditures or revenues of local or State funds. These Rules do not ha\'e a substantial economic impact of at least five million
dollars (S5. 000.000) in a 12-month period
CHAPTERS -FACILITY SERVICES
SUBCHAPTER 3R - CERTIFICATE OF NEED REGULATIONS
SECTION .3000 - PLANNING POLICIES AND NEED DETERMINATIONS
.3051 APPLICABILITY OF RULES RELATED TO THE 1997 STATE MEDICAL FACILITIES PLAN
Rules .3052 through .3054 and .3056 through .3088 of this Section apply to certificate of need applications for which the scheduled
re\ie\s period b e gin s on or aft e r Januar\ 1 . 1 0Q7. began during calendar \ ear 1 997. In addition. Rule .3055 of this Section will be
used to implement procedures described u ithin it aft e r Januan. 1. 1997 during calendar \ear 1997.
.Authority G.S 131E-r6(25i: 131E-1"(1): 131E-183(b).
SECTION .6100 - PLANNING POLICIES AND NEED DETERMINATIONS
.6101 APPLICABILITY OF RULES RELATED TO THE 1998 STATE MEDICAL FACILITIES PLAN
Rules .6101 through .6105 and .6107 through .6141 ofthis Section appK to certificate of need applications for uhich the scheduled
re\ie\s period begins during calendar \ear 1998. In addition. Rule .6106 of this Section will be used to implement procedures
described within it during calendar \ear 1998.
.Authority- GS 131E-r6(25i: BIE-T'd): 131E-1 83(b).
.6102 CERTIFICATE OF NEED REVIEW CATEGORIES
The agencN' has established 10 categories of facilities and services for certificate of need re\iew and will determine the appropriate
review categon or categories for all applications submitted pursuant to 10 NCAC 3R .0304. For proposals which include more than
one categorN. the agenc\ ma\ require the applicant to submit separate applications, if it js not practical to submit separate
applications, the agenc\ will determine in which category the application will be reviewed. The review of an application for a
178 NORTH CAROLINA REGISTER July 15, 1998 13:2
PROPOSED RULES
certificate of need will commence in the next review schedule after the application has been determined to be complete. The 10
categories of facilities and services are:
(1) Category A. Proposals submitted by acute care hospitals, except those proposals included in Categories B through H and
Category J, including but not limited to the following types of projects: renovation, construction, equipment, and acute
care services.
(2) Category B. Proposals for nursing care beds; new continuing care facilities applying for exemption under 10 NCAC 3R
.6134; and relocations of nursing care beds under 10 NCAC 3R .6136.
(3) Category C. Proposals for new psychiatric facilities; psychiatric beds in existing health care facilities; new intermediate
care facilities for the mentally retarded (ICF/MR) and ICF/MR beds in existing health care facilities; new substance abuse
and chemical dependency treatment facilities; substance abuse and chemical dependency treatment beds in existing health
care facilities.
(4) Category D. Proposals for new dialysis stations in response to the "county need" or "facility need" methodologies; and
relocations of existing dialysis stations to another county.
(5) Category E. Proposals for new or expanded inpatient rehabilitation facilities and inpatient rehabilitation beds in other
health care facilities; and new or expanded ambulatory surgical facilities except those proposals included in Category H.
(6) Category F. Proposals for new home health agencies or offices, new hospices, new hospice inpatient facility beds, and new
hospice residential care facility beds.
(7) Category G. Proposals for conversion of hospital beds to nursing care under 10 NCAC 3R .6133.
(8) Category H. Proposals for bone marrow transplantation services, bum intensive care services, neonatal intensive care
services, open heart surgery services, solid organ transplantation services, air ambulance equipment, cardiac angioplasty
equipment, cardiac catheterization equipment, heart-lung bypass machines, gamma knives, lithotriptors. magnetic resonance
imaging scanners, positron emission tomography scanners, major medical equipment as defined in G.S. 13 IE- 176 (14f).
diagnostic centers as defined in G.S. 13 IE- 176 (7a). and oncology treatment centers as defined in G.S. 13 IE- 176 (18a).
(9) Category I. Proposals involving cost overruns; expansions of existing continuing care facilities which are licensed by the
Department of Insurance at the date the application is filed and are applying under exemptions fi-om need determinations
in 10 NCAC 3 R .6121; relocations within the same county of existing health service facilities, beds or dialysis stations
which do not involve an increase in the number of health service facility beds or stations; reallocation of beds or services;
Category A proposals submitted by Academic Medical Center Teaching Hospitals designated prior to January 1. 1990;
proposals submitted pursuant to 10 NCAC 3R .6130(c) by Academic Medical Center Teaching Hospitals designated prior
to January 1. 1990; and any other proposal not included in Categories A through H and Category J.
(10) Category J. Proposals for demonstration projects.
Authority G.S. 13IE-176(25): niE-n-^d); 131E-183(b).
.6103 CERTIFICATE OF NEED REVIEW SCHEDULE
The agency has established the following review schedules for certificate of need applications.
(1) Acute Care Beds (in accordance with the need determination in 10 NCAC 3R .6107)
CON Beginning
County Review Date
Dare July 1. 1998
(2) Fixed Cardiac Catheterization Equipment (in accordance with need determinations in 10 NCAC 3R .61 12)
Hospital
Service System
CON Beginning
Review Date
Moses H. Cone Memorial
High Point Regional
Cape Fear Valley Medical Center
April 1. 1998
April 1, 1998
March 1, 1998
(3) Radiation Oncology Treatment Centers (in accordance with the need determination in 10 NCAC 3R .6120)
I Radiation Oncology Treatment CON Beginning |
13:2 NORTH CAROLINA REGISTER July 15, 1998 179
PROPOSED RULES
Center Service Area
Review Date
9 (Cabarrus. Stanly)
October 1. 1998
(4) Nursing Care Beds (in accordance with need determinations in 10 NCAC 3R .6121'
CON Beginning
Counts
Review Date
Caswell
April 1, 1998
Cabarrus
August 1. 1998
Rowan
April 1, 1998
Lee
March 1. 1998
Cumberland
March 1, 1998
Martin
September 1, 1998
(5) Home Health Agency Offices (in accordance with the need determination in 10 NCAC 3 R .6123)
Counties
CON Beginning
Review Date
Cumberland, Hoke.
Robeson or Scotland
May 1. 1998
(6) Detox-Onl\ Beds (in accordance with need determinations in 10 NCAC 3R .6128)
Mental Health Planning Areas
CON Beginning
Review Date
I (Cherokee. Clay. Graham. Haywood. Jackson, Macon. Swain)
4 (Henderson. Transvlvania)
5 (Alexander, Burke. Caldwell. McDowell)
6 (Rutherford. Polk)
I I (Davie. Iredell. Rowan)
13 (SurrN. Yadkin)
15 (Rockingham)
17 (Alamance. Caswell)
18 (Orange. Person. Chatham)
20 (Vance. Granville. Franklin. Warren)
21 (Davidson)
23 (Bladen. Columbus. Robeson. Scotland)
26 (Johnston)
27 (Wake)
31 (Wayne)
32 (Wilson. Greene)
33 (Edgecombe. Nash)
34 (Halifax)
35 (Carteret. Craven. Jones. Pamlico)
36 (Lenoir)
38 (Bertie. Gates. Hertford. Northampton)
39 (Beaufort. H\de. Martin. Tvrrell. Washington)
40 (Camden, Chowan. Currituck. Dare. Pasquotank. Perquimans)
41 (Duplin, Sampson)
June 1
June 1
1998
1998
June 1
1998
June 1
1998
June 1
1998
1998
June 1
June 1
1998
June 1
1998
June 1
1998
June 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
May 1
1998
MaN 1
1998
180
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
(7) Intermediate Care Facility Beds for Mentally Retarded (in accordance with need determinations in 10 NCAC 3R .6129)
CON Beginning
Mental Health Planning Areas
Review Date
8 (Gaston, Lincoln)
June 1, 1998
10 (Mecklenburg)
June 1, 1998
14 (Forsyth, Stokes)
June 1. 1998
21 (Davidson)
June 1. 1998
24 (Cumberland)
May 1, 1998
37 (Pitt)
May 1, 1998
(8) Applications for certificates of need will be reviewed pursuant to the following review schedule, unless another schedule
has been specified in Items ( 1 ) through (7) of this Rule.
CON Beginning
HSA
HSA
Review Date
LILIil
IV, V, VI
January 1
__
Februarv 1
A,E,a,i
G
March 1
"
A,B,E,LH
April 1
B^LiLl
~
May 1
c
C.Li
June 1
A,C,D,i
C.D
July 1
"
A,I
August 1
B,E,I
"
September 1
J
B.E,iiLJ
October 1
A^LtLi
"
November 1
-_z
A.LI
December 1
c,a,i
c.ai
Authority G.S. 131 £-176(25): 131E-1
'7(1):
131E-183(b).
.6104 MULTI-COUNTY GROUPINGS
(a) Health Service Areas. The agency has
assigned the counties of the state to the following health service areas for the purpose
of scheduling applications for certificates of need:
HEALTH SERVICE AREAS
(HSA)
f
II
III
IV
V
VI
County
County
Alamance
Caswell
Davidson
Davie
Forsvth
Guilford
Randolph
Rockingham
Stokes
County
Cabarrus
Gaston
Iredell
Lincoln
Mecklenburg
Rowan
Stanly
Union
County
Chatham
Durham
Franklin
Granville
Johnston
Lee
Orange
Person
Vance
County
Anson
Bladen
Brunswick
Columbus
Cumberland
Harnett
Hoke
Montgomery-
Moore
County-
Beaufort
Bertie
Camden
Carteret
Chowan
Craven
Currituck
Dare
Duplin
Alexander
Alleghanv
Ashe
Avery
Buncombe
Burke
Caldwell
Catawba
Cherokee
13:2
NORTH CAROLINA REGISTER July 15, 1998
181
PROPOSED RULES
tlav
Cleveland
Surry
Yadkin
Wake
Warren
New Hanover
Pender
Richmond
Robeson
Sampson
Scotland
Edgecombe
Gates
Greene
Halifax
Hertford
Hyde
Jones
Lenoir
Martin
Nash
Northampton
Onslow
Pamlico
Pasquotank
Perquimans
Pitt
Tyrrell
Washington
Wayne
Wilson
Graham
Haywood
Henderson
Jackson
McDowell
Macon
Madison
Mitchell
Polk
Rutherford
Swain
Transylvania
Watauga
Wilkes
Yancey
(b) Mental Health Planning Areas. The agency has assigned the counties of the state to the following Mental Health Planning
Areas for purposes of the State Medical Facilities Plan:
MENTAL HEALTH PLANNING AREAS
Area Number Constituent Counties
1
2
3
4
5
6
7
8
9
10
11
12
H
14
15
16
12
18
19
20
21
22
23
24
25
26
27
Cherokee. Cla\. Graham. Hay-wood. Jackson. Macon. Swain
Buncombe. Madison. Mitchell. Yancey
Alleghany. Ashe. Avery. Watauga. Wilkes
Henderson. Transylvania
Alexander. Burke. Caldwell. McDowell
Rutherford. Polk
Cleveland
Gaston. Lincoln
Catawba
Mecklenburg
Davie, Iredell. Rowan
Cabarrus. Stanly. Union
Surr>. Yadkin
Forsyth. Stokes
Rockingham
Guilford
Alamance. Caswell
Orange. Person. Chatham
Durham
Vance. Granville. Franklin. Warren
Davidson
Anson. Hoke. Montgomery. Moore. Richmond
Bladen. Columbus. Robeson. Scotland
Cumberland
Lee, Harnett
Johnston
Wake
Randolph
182
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
29
Brunswick, New Hanover. Pender
30
Onslow
31
Wavne
32
Wilson, Greene
33
Edgecombe, Nash
34
Halifax
35
Carteret. Craven. Jones, Pamlico
36
Lenoir
37
Pitt
38
Bertie, Gates, Hertford, Northampton
39
Beaufort, Hvde. Martin. Tyrrell, Washington
40
Camden, Chowan, Currituck, Dare, Pasquotank, Perquimans
4i
Duplin, Sampson
(c) Mental Health Planning Regions. The agency has assigned the counties of the state to the following Mental Health
Planning Regions for purposes of the State Medical Facilities Plan:
MENTAL HEALTH PLANNING REGIONS (Area Number and Constituent Counties)
Western (W)
Cherokee, Clay, Graham, Haywood, Jackson, Macon, Swain
Buncombe, Madison, Mitchell, Yancey
Alleghany, Ashe, Avery, Watauga, Wilkes
Henderson, Transylvania
Alexander, Burke, Caldwell, McDowell
Rutherford. Polk
Cleveland
8 Gaston, Lincoln
9 Catawba
10 Mecklenburg
ii Davie, Iredell, Rowan
12 Cabarrus. Stanly. Union
North Central (NO
11
H
15
16
il
18
19
20 Vance, Granville. Franklin. Warren
Surry. Yadkin
Forsyth. Stokes
Rockingham
Guilford
Alamance. Caswell
Orange. Person. Chatham
Durham
South Central (SO
21 Davidson
22 Anson. Hoke. Montgomery. Moore. Richmond
23 Bladen. Columbus. Robeson. Scotland
24 Cumberland
25 Lee. Harnett
26 Johnston
27 Wake
28 Randolph
Eastern (E)
29 Brunswick. New Hanover. Pender
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NORTH CAROLINA REGISTER
July 15, 1998
183
PROPOSED RULES
30 Onslow
31 Wayne
32 Wilson, Greene
33 Edgecombe, Nash
34 Halifax
35 Carteret, Craven. Jones. Pamlico
36 Lenoir
37 Pitt
38 Bertie, Gates, Hertford, Northampton
39 Beaufort, Hyde. Martin. Tyrrell, Washington
40 Camden, Chowan, Currituck, Dare, Pasquotank. Perquimans
41 Duplin, Sampson
(dj Radiation Oncology Treatment Center Planning Areas. The agency has assigned the counties of the state to the following
Radiation Oncology Treatment Center Planning Areas for purposes of the State Medical Facilities Plan:
RADIATION ONCOLOGY TREATMENT CENTER PLANNING AREAS
Area Number Constituent Counties
1 Cherokee, Clay, Graham. Jackson, Macon, Swain
2 Buncombe. Haywood. Madison. McDowell, Mitchell, Yancey
3 Alleghany. Ashe, Avery, Watauga
4 Henderson, Polk, Transylvania
5 Alexander. Burke, Caldwell, Catawba
6 Rutherford, Cleveland, Gaston. Lincoln
7 Mecklenburg, Anson, Union
8 Iredell, Rowan
9 Cabarrus, Stanly
10 Forsyth, Davidson. Davie. Stokes. Surry. Wilkes. Yadkin
11 Guilford. Randolph. Rockingham
12 Alamance, Chatham, Orange
13 Durham, Caswell, Granville, Person, Vance, Warren
14 Moore, Hoke, Lee, Montgomery. Richmond
15 Cumberland. Bladen. Sampson
16 Robeson. Scotland
17 Wake. Franklin, Harnett, Johnston
18 New Hanover, Brunswick, Columbus, Pender
19 Wayne
20 Nash, Halifax, Wilson
21 Craven, Carteret, Onslow, Jones, Pamlico
22 Lenoir, Duplin
23 Pitt, Beaufort, Bertie, Edgecombe, Greene, Hertford, Hyde, Martin, Northampton, Washington
24 Pasquotank, Camden, Chowan, Currituck, Dare, Gates, Perquimans, Tyrrell
(e) Ambulatory Surgical Facility Planning Areas. The agency has assigned the counties of the state to the following Ambulatory
Surgical Facility Planning Areas for purposes of the State Medical Facilities Plan:
AMBULATORY SURGICAL FACILITY PLANNING AREAS
Area Constituent Counties
1 Alamance
2 Alexander, Iredell
3 Alleghany, Surrv, Wilkes
I
184 NORTH CAROLINA REGISTER July 15. 1998 13:2
i
PROPOSED RULES
4 Anson. Cleveland, Gaston. Mecklenburg. Union
5 Ashe. Avery. Watauga
6 Beaufort. Hyde
7 Bertie. Gates. Hertford
8 Bladen. Cumberland. Robeson. Sampson
9 Brunswick. Columbus. Duplin. New Hanover. Pender
10 Buncombe. Haywood. Madison. Mitchell. Yancey
11 Burke. McDowell. Rutherford
12 Cabarrus. Rowan. Stanly
13 Caldwell. Catawba. Lincoln
14 Camden. Currituck. Dare. Pasquotank. Perquimans
15 Carteret. Craven. Jones. Onslow. Pamlico
16 Caswell. Chatham. Orange
17 Cherokee. Clay. Graham. Jackson. Macon. Swain
18 Chowan. Tyrrell. Washington
19 Davidson. Davie. Forsyth. Stokes. Yadkin
20 Durham. Granville. Person
21 Edgecombe. Halifax. Nash. Northampton
22 Franklin. Harnett. Johnston. Wake
23 Greene. Lenoir. Martin. Pitt
24 Guilford. Randolph. Rockingham
25 Henderson. Polk. Transylvania
26 Hoke. Lee. Montgomery. Moore. Richmond. Scotland
27 Vance. Warren
28 Wayne
29 Wilson
Authority G.S. 131E-176(25): I31E-I77(I): 13IE-183(I).
.6105 SERVICE AREAS AND PLANNING AREAS
(a) An acute care bed's service area is the acute care bed planning area in which the bed is located. The acute care bed planning
areas are the hospital service systems which are defined as follows:
(1) a group of hospitals located in the same city, or within 1 miles of each other, or in the same county if one or more hospitals
in the county are under common ownership; or
(2) a single hospital that is not included in one of the groups of hospitals described in Subparagraph (a)( 1 ) of this Rule.
(b) A rehabilitation bed's service area is the rehabilitation bed planning area in which the bed is located. The rehabilitation bed
planning areas are the health service areas which are defined in 10 NCAC 3R .6104(a).
(c) An ambulatory surgical facility's service area is the ambulatory surgical facility planning area in which the facility is located.
The ambulatory surgical facility planning areas are the multi-county groupings as defined in 10 NCAC 3R .6104(e).
(d) A radiation oncology treatment center's and linear accelerator's service area is the radiation oncology treatment center and
linear accelerator planning area in which the facility is located. The radiation oncology treatment center and linear accelerator
planning areas are the multi-county groupings as defined in 10 NCAC 3R .6104(d).
(e) A nursing care bed's service area is the nursing care bed planning area in which the bed is located. Each of the 100 counties
in the State is a separate nursing care bed planning area.
(f) The service area for the demonstration project to establish a nursing care facility for deaf and hard of hearing is the
demonstration project planning area. The demonstration project planning area consists of all 100 counties of the State.
(g) A home health agency office's service area is the home health agency office planning area in which the office is located. Each
of the 100 counties in the State is a separate home health agency office planning area, except that Cumberland. Hoke. Robeson and
Scotland Counties constitute a single multicounty planning area.
(h) A dialysis station's service area is the dialysis station planning area in which the dialysis station is located. Each of the 100
coimties in the State is a separate dialysis station planning area.
(il A hospice's service area is the hospice planning area in which the hospice is located. Each of the 100 counties in the State is
a separate hospice planning area.
(jj A hospice inpatient facility bed's service area is the hospice inpatient facility bed planning area in which the bed is located.
Each of the 100 counties in the State is a separate hospice inpatient facility bed planning area.
13:2 NORTH CAROLINA REGISTER July 15, 1998 185
PROPOSED RULES
(kj A psNchiatric bed's service area is the psychiatric bed planning area in which the bed is located. The psychiatric bed planning
areas are the Mental Health Planning Regions which are defined in 10 NCAC 3R .6104(c).
(1) With the exception of chemical dependency detoxification-onh beds, a chemical dependency' treatment bed's service area is
the chemical dependency treatment bed planning area in which the bed is located. TTie chemical dependency treatment bed planning
areas are the Mental Health Planning Regions yshich are defined in 10 NCAC 3R .6104(c).
(m) A chemical dependency detoxification-onh bed's ser\ ice area is the chemical dependency detoxification-onK bed planning
area in yvhich the bed is located. The chemical dependency detoxification-only bed planning areas are the Mental Health Planning
Areas yvhich are defined in 10 NCAC 3R .6104(b).
(n) An intermediate care bed for the mentally retarded's seryice area is the intermediate care bed for the mentally retarded planning
area in \\hich the bed is located. The intermediate care bed for the mentally retarded planning areas are the Mental Health Planning
Areas yvhich are defined in 10 NCAC 3R .6104(b).
Auihorin-G.S. 131E-r6(25): 131E-l"(lj: 131E-183(lJ.
.6106 REALLOCATIONS AND ADJUSTMENTS
ta) REALLOCATIONS.
(1) Reallocations shall be made only to the extent that need determinations in 10 NCAC 3R .6107 through .6129 indicate that
need exists after the inyentories are reyised and the need determinations are recalculated.
(2) Beds or sery ices yvhich are reallocated once in accordance yvith this Rule shall not be reallocated again. Rather, the Medical
Facilities Planning Section shall make any necessary changes in the next annual State Medical Facilities Plan.
(3) DiaK sis stations that are w ithdrayvn. relinquished, not applied for, decertified, denied, appealed, or pending the expiration
of the 30 day appeal period shall not be reallocated. Instead, any necessary redetermination of need shall be made in the
next scheduled publication of the Semiannual Dialvsis Report.
(4) Appeals of Certificate of Need Decisions on Applications. Need determinations of beds or services for yvhich the CON
Section decision has been appealed shall not be reallocated until the appeal is resolved.
(A) Appeals Resolved Prior to August 17: If an appeal is resoK ed in the calendar y ear prior to August 1 7. the beds or
services shall not be reallocated by the CON Section: rather the Medical Facilities Planning Section shall make the
necessary changes in the next annual State Medical Facilities Plan, except for diahsis stations yshich shall be
processed pursuant to Subparagraph (a)(3) of this Rule.
(B) Appeals ResoKed on or After August 17: If the appeal is resoKed on or after August 17 in the calendar year, the
beds or services, except for diahsis stations, shall be made available for a rev iew period to be determined by the
CON Section, but beginning no earlier than 60 davs from the date that the appeal is resolved. Notice shall be mailed
by the Certificate of Need Section to all persons on the mailing list for the State Medical Facilities Plan, no less than
45 days prior to the due date for receipt of ney\ applications.
(5) W'ithdrayyals and Relinquishments. Except for diahsis stations, a need determination for which a certificate of need is
issued, but is subsequently withdrawn or relinquished, is available for a rev levy period to be determined bv the Certificate
of Need Section, but beginning no earlier than 60 days from:
(A) the last date on yvhich an appeal of the notice of intent to withdraw the certificate could be filed if no appeal is filed.
(B) the date on which an appeal of the yvithdray\al is finalh resolved against the holder, or
(C) the date that the Certificate of Need Section receives from the holder of the certificate of need notice that the
certificate has been voluntarily relinquished.
Notice of the scheduled rev ievs period for the reallocated serv ices or beds shall be mailed b\ the Certificate of Need Section
to all persons on the mailing list for the State Medical Facilities Plan, no less than 45 day s prior to the due date for submittal
of the neyy applications.
(6) Need Determinations for y\hich No Applications are Received.
(A) Sery ices or Beds with Scheduled Rev ieyv in the Calendar Year on or Before September 1 : The Certificate of Need
Section shall not reallocate the services or beds in this category for which no applications were received, because
the Medical Facilities Planning Section will have sufficient time to make any necessary changes in the determinations
of need for these serv ices or beds in the next annual State Medical Facilities Plan, except for diah sis stations.
(B) Services or Beds ysith Scheduled RevieyN in the Calendar Year .After September 1: Except for diahsis stations, a
need determination in this category for yy hich no application has been received h\ the last due date for submittal of
applications shall be available to be applied for in the second Category I rev lew period in the next calendar year for
the applicable HSA. Notice of the scheduled rev ievs period for the reallocated beds or services shall be mailed by
the Certificate of Need Section to all persons on the mailing list for the State Medical Facilities Plan, no less than
45 days prior to the due date for submittal of new applications.
£7} Need Determinations not .Awarded because Application Disapproved.
(A) Disapproval in the Calendar Year prior to August 17: Need determinations or portions of such need for which
applications were submined but disapproved by the Certificate of Need Section before August 17. shall not be
186 NORTH CAROLINA REGISTER July 15, 1998 13:2
PROPOSED RULES
reallocated by the Certificate of Need Section. Instead the Medical Facilities Planning Section shall make the
necessary changes in the next annual State Medical Facilities Plan if no appeal is filed, except for dialysis stations.
(B) Disapproval in the Calendar Year on or After August 17: Need determinations or portions of such need for which
applications were submitted but disapproved by the Certificate of Need Section on or after August 17. shall be
reallocated by the Certificate of Need Section, except for dialysis stations. A need in this category shall be available
for a review period to be determined by the Certificate of Need Section but beginning no earlier than 95 days fi"om
the date the application was disapproved, if no appeal is filed. Notice of the scheduled review period for the
reallocation shall be mailed by the Certificate of Need Section to all persons on the mailing list for the State Medical
Facilities Plan, no less than 80 days prior to the due date for submittal of the new applications.
(8) Reallocation of Decertified ICF/MR Beds. If an ICF/MR facility's Medicaid certification is relinquished or revoked, the
ICF/MR beds in the facility shall be reallocated by the Department of Health and Human Services. Division of Facility
Services. Medical Facilities Planning Section pursuant to the provisions of the following sub-parts. The reallocated beds
shall only be used to convert five-bed ICF/MR facilities into six-bed facilities.
(A) If the number of five-bed ICF/MR facilities in the mental health planning region in which the beds are located equals
or exceeds the number of reallocated beds, the beds shall be reallocated solely within the planning region after
considering the recommendation of the Regional Team of Developmental Disabilities Services Directors.
(B) If the number of five-bed ICF/MR facilities in the mental health planning region in which the beds are located is less
than the number of reallocated beds, the Medical Facilities Planning Section shall reallocate the excess beds to other
plaiming regions after considering the recommendation of the Developmental Disabilities Section in the Division
of Mental Health. Developmental Disabilities, and Substance Abuse Services. The Medical Facilities Planning
Section shall then allocate the beds among the planning areas within those planning regions after considering the
recommendation of the appropriate Regional Teams of Developmental Disabilities Services Directors.
(C) The Department of Health and Human Services. Division of Facility Services. Certificate of Need Section shall
schedule reviews of applications for these beds pursuant to Subparagraph (a)(5) of this Rule.
(b} CHANGES IN NEED DETERMINATIONS.
(1) The need determinations in 10 NCAC 3R .6107 through .6129 shall be revised continuously throughout the calendar year
to reflect all changes in the inventories of:
(A) the health services listed at G.S. 131E-176(I6)f;
(B) health service facilities;
(C) health service facility beds:
(D) dialysis stations:
£E} the equipment listed at G.S. 1 3 1 E- 1 76( 1 6)f 1 : and
(F) mobile medical equipment:
as those changes are reported to the Medical Facilities Planning Section. However, need determinations in 10 NCAC 3R
.6107 through .6129 shall not be reduced if the relevant inventory is adjusted upward 30 days or less prior to the first day
of the applicable review period.
(2) Inventories shall be updated to reflect:
(A) decertification of home health agencies or offices, intermediate care facilities for the mentally retarded, and dialysis
stations;
(B) delicensure of health service facilities and health service facility beds:
(C) demolition, destruction, or decommissioning of equipment as listed at G.S. 131E-176(I6)fI and s:
(D) elimination or reduction of a health service as listed at G.S. 131E-176(16)f;
(E) psychiatric beds licensed pursuant to G.S. 131E-184(c);
(F) certificates of need awarded, relinquished, or withdrawn, subsequent to the preparation of the inventories in the State
Medical Facilities Plan; and
(G) corrections of errors in the inventory as reported to the Medical Facilities Planning Section.
£3} Any person who is interested in applying for a new institutional health service for which a need determination is made in
10 NCAC 3R .6107 through .6129 may obtain information about updated inventories and need determinations from the
Medical Facilities Planning Section.
(4) Need determinations resulting from changes in inventory shall be available for a review period to be determined by the
Certificate of Need Section, but beginning no earlier than 60 days from the date of the action identified in Paragraph (b)
of this Rule, except for dialysis stations which shall be determined by the Medical Facilities Planning Section and published
in the next Semiannual Dialysis Report. Notice of the scheduled review period for the need determination shall be mailed
by the Certificate of Need Section to all persons on the mailing list for the State Medical Facilities Plan, no less than 45
days prior to the due date for submittal of the new applications.
Authority G.S. 131E-176(25); 131E-177(1); 131E-I83(h).
13:2 NORTH CAROLINA REGISTER July 15, 1998 187
PROPOSED RULES
.6107 ACUTE CARE BED NEED DETERMINATION (REVIEW CATEGORY A)
It is determined that a need exists in Dare Counu for one acute care hospital of not more than 30 acute care beds. It is determined
that no need exists in any other county for additional acute care beds.
Authority G.S. 131E-r6<25i: 131E-1"(1): 131E-183fb).
.6108 REHABILITATION BED NEED DETERMINATION (REVIEW CATEGORY E)
It is determined that there is no need for additional rehabiHtation beds.
Authority G.S. 131E-r6(25): 13!E-1"(1): 131E-183(b).
.6109 AMBULATORY SURGICAL FACILITIES NEED DETERMINATION (REVIEW CATEGORY E)
It is determined that there js no need for additional ambulatorN surgical facilities, except that a Rural Primar\ Care Hospital
designated by the NC Office of Rural Health Services pursuant to Section 1820(f) of the Social Securits' Act may apph for a
certificate of need to convert existing operating rooms for use as a licensed ambulator, surgical facility
Authority G.S. 131E-l'6i:5l: I31E-1"(1): 131E-183lb).
.6110 OPEN HEART SURGERY SERVICES NEED DETERMINATIONS (REVIEW CATEGORY H)
It is determined that there is no need for additional open heart surgery services.
Authority G.S 131E-l-6(25): !31E-r'fl): 131E-183(b).
.61 1 1 HEART-LUNG BYPASS MACHINES NEED DETERMINATION (REVIEW CATEGORY H)
It is determined that there is no need for additional heart-lung bypass machines.
Authority G.S !31E-1^6(25): 131E-ryi): 131E-183(b).
.61 12 FIXED CARDIAC CATHETERIZATION EQUIPMENT AND FIXED CARDIAC ANGIOPLASTY
EQUIPMENT NEED DETERMINATION (REVIEW CATEGORY H)
It is determined that a need exists for one additional fixed unit of cardiac catheterization equipment or one additional fixed unit of
cardiac angioplasty equipment in each of the hospital service systems served by Cape Fear Valley Medical Center. Moses H. Cone
Memorial Hospital, and High Point Regional Hospital, and that these hospitals and any other person mav apply for a certificate of
need to purchase the units, provided the units s\\\\ be located in the hospital service system for vshich the need is identified. This
means that any new unit must be located within 10 miles of a hospital within the hospital service svstem.
.Authority G.S 13 1 E-r6(25): UlE-T'd): 131E-lS3(b).
.61 13 MOBILE CARDIAC CATHETERIZATION EQUIPMENT AND MOBILE CARDIAC
ANGIOPLASTY EQUIPMENT NEED DETERMINATION (REVIEW CATEGORY H)
There js no need for any additional mobile cardiac catheterization equipment or any additional mobile cardiac angioplasty'
equipment.
Authority G.S 131E-r6(25): 131 E-I^'dl: 131E-183(b).
.6114 BURN INTENSIVE CARE SERVICES NEED DETERMINATION (REVIEW CATEGORY H)
It is determined that there is no need for additional bum intensive care services.
.Authority G.S 1 31 E-r6l25): 131E-r'(l): 131E-183(bi.
.61 15 POSITRON EMISSION TOMOGRAPHY SCANNERS NEED DETERMINATION (REVIEW
CATEGORY H)
It is determined that there is no need for additional positron emission tomography scanners for purposes other than research.
Authorit}' G.S 131E-r6(25): 131E-1"(1/: !31E-183(bl.
.6116 BONE MARROW TRANSPLANTATION SERVICES NEED DETERMINATION (REVIEW
CATEGORY H)
188 NORTH CAROLINA REGISTER July 15, 1998 13:2]
^m
PROPOSED RULES
It is determined that there is no need for additional allogeneic or autologous bone marrow transplantation services.
Authority G.S. 131E-176(25); 131E-177(1): ]31E-183(b).
.6117 SOLID ORGAN TRANSPLANTATION SERVICES NEED DETERMINATION (REVIEW
CATEGORY H)
It is determined that there is no need for new solid organ transplant services.
Authority G.S. 131 £-176(25): 131E-1 77(1): 131 E-1 83(b).
.6118 GAMMA KNIFE NEED DETERMINATION (REVIEW CATEGORY H)
It is determined that there is no need for a gamma knife.
Authority G.S. 131E-176(25): 131 E-1 77(1): 131E-183(b).
.61 19 LITHOTRIPTER NEED DETERMINATION (REVIEW CATEGORY H)
It is determined that there is no need for additional lithotripters.
Authority G.S 131E-176(25): 131E-177(1): 13IE-183(b).
.6120 RADIATION ONCOLOGY TREATMENT CENTERS NEED DETERMINATION (REVIEW
CATEGORY H)
It is determined that there is a need for one additional Radiation Oncology Treatment Center in Cabarrus County or Stanly County.
Authority G.S 131E-176(25): 131E-177(1): 131E-183(b).
.6121 NURSING CARE BED NEED DETERMINATION (REVIEW CATEGORY B)
It is determined that the counties listed in this Rule need additional Nursing Care Beds as specified. There is no need for additional
Nursing Care Beds in other counties, except as otherwise provided in 10 NCAC 3R .6122.
Number of Nursing Care
County
Beds Needed
Caswell
20
Cabarrus
70
Rowan
90
Lee
40
Cumberland
m
Martin
20
Authority G.S 131E-176(25): 131E-177(1): 131E-183(b).
.6122 DEMONSTRATION PROJECT TO ESTABLISH A NURSING CARE FACILITY FOR PERSONS
WHO ARE DEAF OR HARD OF HEARING (REVIEW CATEGORY J)
(a) It is determined that 90 nursing care beds are needed for a demonstration project to establish one new nursing care facility for
persons who are deaf or hard of hearing.
(b) The project may be developed in any county in the state.
(c) The nursing care beds in this demonstration project shall not be counted in the nursing care bed inventory for the county in
which the facility is developed.
(d) Admissions to the nursing care facility shall be restricted to persons who are deaf or hard of hearing. "Hard of hearing" is
defined for purposes of the demonstration project as persons with 60 decibel pure tone average in the better ear unaided and with a
hearing impairment of sufficient degree to interfere with normal communication, as defined by speech reception thresholds. Hearing
assessments used for screening admissions must be performed by a certified audiologist.
(e) The demonstration project shall provide data to evaluate the effectiveness of this type of program, including an annual report
to the Long-Term Care Committee and to the Division of Services for the Deaf and the Hard of Hearing with regard to at least the
following measures:
(1) Occupancy Rate;
13:2
NORTH CAROLINA REGISTER
July 15, 1998
189
PROPOSED RULES
-
(2} Utilization by Percentage of Persons who are Deaf and by Percentage of Persons who are Hard of Hearing;
(3) Patient Origin Data;
(4) Cost Data, particularly with regard to ancillary communication seryjces and training; and
(5) Consumer Satisfaction, including ratings from patients and family members.
Authority G.S. niE-n6(25): 131E-177I1): 131E-I83(b).
.6123 HOME HEALTH AGENCY OFFICE NEED DETERMINATION (REVIEW CATEGORY F)
It is determined that there is a need for one additional Medicare-certified home health agency office to be located in Cumberland.
Hoke. Robeson or Scotland County, to address the special needs of persons who are HIV positjye and persons with AIDS from this
four county area.
Authority G.S. 13IE-r6(25): UlE-H-'d): 13 IE- 183(b).
.6124 DIALYSIS STATION NEED DETERMINATION
(a) The Medical Facilities Planning Section (MFPS) shall determine need for new dialysis stations two times each calendar year,
and shall make a report of such determinations available to aU who request it. This report shall be called the North Carolina
Semiannual Dialysis Report (SDR). Data to be used for such determinations, and their sources, are as follows:
(1) Numbers of dialysis patients, by type. countN and facility, from the Southeastern Kidney Council. Inc. (SEKC) and the Mid-
Atlantic Renal Coalition. Inc. as of December 3 1 . 1997 for the March SDR and as of June 30. 1998 for the September SDR.
(2) Certificate of need decisions, decisions appealed, appeals settled, and awards, from the Certificate of Need Section. DPS.
(3) Facilities certified for participation in Medicare, from the Certification Section. DPS.
(4) Need determinations for which certificate of need decisions have not been made, from MFPS records.
Need determinations in this report shall be an integral p art of the State Medical Facilities Plan, as provided in G.S. 131E-I83.
(b) Need for new dialysis stations shall be determined as follows:
(1) County Need
(A) The average annual rate (°o) of change in total number of dialysis patients resident in each county from the end of
1993 to the end of 1997 is multiplied by the county's 1997 \ear end total number of patients in the SDR, and the
product is added to each county's most recent total number of patients reported in the SDR. The sum is the county's
projected total 1998 patients.
(B) The percent of each county's total patients who were home dialysis patients at the end of 1997 is multiplied by the
county's projected total 1998 patients, and the product is subtracted from the county's projected total 1998 patients.
The remainder is the county's projected 1998 in-center dialysis patients.
(C) The projected number of each county's 1998 in-center patients is divided by 3.2. The quotient is the projection of
the county's 1998 in-center dialysis stations.
(D) From each count\'s projected number of 1998 in-center stations is subtracted the county's number of stations
certified for Medicare. CON-approved and awaiting certification, awaiting resolution of CON appeals, and the
number represented by need determinations in previous State Medical Facilities Plans or Semiannual Dialysis
Reports for which CON decisions have not been made. The remainder is the county's 1998 projected surplus or
deficit.
(E) If a county's 1998 projected station deficit is 10 or greater and the SDR shows that utilization of each dialysis facility
in the county' is 80° o or greater, the 1998 county station need determination is the same as the 1998 projected station
deficit. If a county's 1998 projected station deficit is less than 10 or if the utilization of any dialysis facility in the
county is less than 80°'o. the county's 1998 station need determination is zero.
(2) Facility Need
A dialysis facility' located in a county for which the result of the County Need methodology js zero in the reference
Semiannual Dialysis Report (SDR) is determined to need additional stations to the exlOt that:
(A) Its utilization, reported in the current SDR, is 3.2 patients per station or greater.
(B) Such need, calculated as follows, is reported in an application for a certificate of need:
(i) The facility's number of in-center dialysis patients reported in the previous SDR (SDR ] ) is subtracted from
the number of in-center dialysis patients reported jn the current SDR (SDR? ). The difference js multiplied
by 2 to project the net in-center change for one year. Divide the projected net in-center change for the year
by the number of in-center patients from SDR ] to determine the projected annual grov\th rate,
(ii) The quotient from Subpart (b)(2)(B)(i) of this Rule is divided by 12.
(iii) The quotient from Subpart (b)(2)(B)(ii) of this Rule is multiplied by the number of months from the most
recent month reported [n the current SDR until the end of calendar 1998.
(iv) The product from Subpart (b)(2)(B)(iii) of this Rule is multiplied by the number of the facility's in-center
patients reported in the current SDR and that product is added to such reported number of in-center patients.
190 NORTH CAROLINA REGISTER July 15, 1998 13:2
PROPOSED RULES
(v) The sum from Subpart (b)(2KB)(iv) of this Rule is divided by 3.2, and from the quotient is subtracted the
facility's current number of certified and pending stations as recorded in the current SDR. The remainder is
the number of stations needed.
{Cj The facility may apply to expand to meet the need established in Subpart rb)(2)(B)(v) of this Rule, up to a maximum
of 10 stations.
("c) The schedule for publication of the North Carolina Semiannual Dialysis Report (SDR) and for receipt of certificate of need
applications based on each issue of this report in 1998 shall be as follows:
Data for
Period Ending
Receipt of
SEKC Report
Publication
of SDR
Receipt of
CON Applications
Beginning
Review Dates
Dec. 31.1997
June 30. 1998
Feb. 27. 1998
Aug. 31. 1998
March 20. 1998
Sept. 21. 1998
May 15, 1998
Noy. 13. 1998
June 1. 1998
Dec. 1. 1998
(d) An application for a certificate of need pursuant to this Rule shall be considered consistent with G.S. 131E-183(a)(l) only if
it demonstrates a need by utilizing one of the methods of determining need outlined in this Rule.
(e) An application for a new End Stage Renal Disease facilit\' shall not be approved unless it documents the need for at least 10
stations based on utilization of 3.2 patients per station per week.
(f) Home patients will not be included in determination of need for new stations.
Authority G.S. 131E-176(25): B1E-I77(1): niE-l 83(b).
.6125 HOSPICE NEED DETERMINATION (REVIEW CATEGORY F)
It is determined that there is no need for additional Hospices.
Authority G.S. 13IE-I76(25}; 131E-177(1); I31E-183(b).
.6126 HOSPICE INPATIENT FACILITY BED NEED DETERMINATION (REVIEW CATEGORY F)
(a) Single Counties. Single counties with a projected deficit of six or more beds are determined to have a bed need equal to the
projected deficit. It is determined that there is no need for additional single county hospice inpatient facility beds.
(b) Contiguous Counties. It is determined that any combination of two or more contiguous counties taken from the following list
shall have a need for new hospice inpatient facility beds if the combined bed deficit for the grouping of contiguous counties totals
six or more beds. Each county in a grouping of contiguous counties must have a deficit of at least one and no more than five beds.
The need for the grouping of contiguous counties shall be the sum of the deficits in the individual counties. For purposes of this Rule,
"contiguous counties" shall mean a grouping of North Carolina counties which includes the county in which the new hospice inpatient
facility is proposed to be located and any one or more of the North Carolina counties which have a common border with that county,
even if the borders only touch at one point. No county may be included in a grouping of contiguous counties unless it is listed in the
following table:
County
Hospice Inpatient
Bed Deficit
Ashe
1
Haywood
Jackson
1
1
Rutherford
2
Watauga
McDowell
1
1
Wilkes
1
Yadkin
1
Yancey
Alamance
1
4
Davidson
2
Caswell
1
Rockingham
Stokes
2
1
13:2
NORTH CAROLINA REGISTER
July 15, 1998
191
PROPOSED RULES
Sum
Cabarrus
Gaston
Iredell
Lincoln
Mecklenburg
Rowan
StanK
Union
Chatham
Durham
Johnston
Wake
Franklin
Vance
Hoke
Bladen
Brunswick
Columbus
Cumberland
Harnett
Moore
Pender
Richmond
Montgomery
Robeson
Scotland
Bertie
Carteret
Craven
Duplin
Edgecombe
Hertford
Nash
Halifax
Onslow
Pitt
Lenoir
Wilson
2
2
4
1
1
3
1
2
2
1
3
i
4
i
1
1
1
2
3
2
1
2
1
3
1
1
1
1
1
1
1
1
1
1
i
2
2
1
1
Authority- G.S. 131E-r6(25): 131E-r-ll): 1 31 E- 183(b).
.6127 PSYCHIATRIC BED NEED DETERMINATION (REVIEW CATEGORY C)
It is determined that there is no need for additional psychiatric beds.
Authority G.S. UlE-l'dCS): 131E-!"(1/: 131E-183(hl.
.6128 CHEMICAL DEPENDENCY TREATMENT BED NEED DETERMINATION (REVIEW CATEGORY C)
(a) It is determined that there is no need for an\ additional chemical dependency treatment beds other than detox-onK beds for
adults. TTie follow ing table lists the mental health planning areas that need detox-onK beds for adults and identifies the number of
such beds needed in each planning area. There is no need for additional detox-onK' beds for adults in any other mental health planning
Mental Health Planning Areas
(Constituent Counties)
Mental Health
Planning Regions
Number of Detox-OnK
Beds Needed
1 (Jackson. Ha\Avood. Macon. Cherokee.
W
10
192
NORTH CAROLINA REGISTER
July 15. 1998
13:2
PROPOSED RULES
Clav, Graham. Swain)
4 (Transylvania. Henderson)
w
10
5 (Caldwell, Burke, Alexander, McDowell)
W
10
6 (Rutherford, Polk)
W
10
1 1 (Rowan, Iredell, Davie)
W
10
13 (Surry. Yadkin)
NC
2
15 (Rockingham)
NC
10
17 (Alamance, Caswell)
NC
6
18 (Orange, Person, Chatham)
NC
2
20 (Vance. Granville, Franklin. Warren)
NC
10
21 (Davidson)
SC
10
23 (Robeson, Bladen. Scotland, Columbus)
SC
5
26 (Johnston)
SC
7
27 (Wake)
SC
26
31 (Wayne)
E
4
32 (Wilson. Greene)
E
10
33 (Edgecombe, Nash)
E
6
34 (Halifax)
E
10
35 (Craven, Jones, Pamlico. Carteret)
E
10
36 (Lenoir)
E
10
38 (Hertford, Bertie, Gates. Northampton)
E
4
39 (Beaufort, Washington, Tyrrell, Hyde. Martin)
E
5
40 (Pasquotank, Chowan. Perquimans, Camden,
E
10
Dare, Currituck)
41 (Duplin, Sampson)
E
10
(b) "Detox-only beds for adults" are chemical dependency treatment beds that are occupied exclusively by persons who are 1 8 years
of age or older who are experiencing physiological withdrawal from the effects of alcohol or other drugs.
(c) The county or counties which comprise each mental health planning area are listed in 10 NCAC 3R .6104(b).
(d) Detox-only beds for adults may be developed outside of the mental health planning area in which they are needed if:
(1) The beds are developed in a contiguous mental health planning area that is within the same mental health planning region,
as defined by 10 NCAC 3R .6104(c): and
(2) The program board in the planning area in which the beds are needed and the program board in the planning area in which
the beds are to be developed each adopt a resolution supporting the development of the beds in the contiguous planning
area.
Authority G.S. 131 £-176(25): 131E-177(1): 131E-183{b).
.6129 INTERMEDIATE CARE BEDS FOR THE MENTALLY RETARDED NEED DETERMINATION
(REVIEW CATEGORY C)
Intermediate Care Beds for the Mentally Retarded. It is determined that the mental health planning areas listed in the following
table need additional Intermediate Care Beds for the Mentally Retarded ("ICF/MR beds"). The table identifies the number of new
child and adult ICF/MR beds needed by each of the listed planning areas. In all but the Forsyth-Stokes Mental Health Planning Area,
the new ICF/MR beds shall only be used to convert existing five-bed ICF/MR facilities into six-bed facilities. In the Forsyth-Stokes
Mental Health Planning Area, the ICF/MR bed shall be used only for a one-bed addition to an existing ICF/MR facility of nine beds
or less. The addition of a bed must result in the reduction of "per client costs." There is no need for new ICF/MR facilities or for
any additional ICF/MR beds in any other mental health planning areas, except as provided in Rule 10 NCAC 3R .6106(a)(8).
Need
Mental Health Planning Area (Constituent Counties) Determination
Child Adult
8 (Gaston-Lincoln) 1
10 (Mecklenburg) 2
14 (Forsyth. Stokes) i
21 (Davidson) i
24 (Cumberland) 1
37 (Pitt) 1
13:2 NORTH CAROLINA REGISTER Julv 15, 1998 193
PROPOSED RULES
AuthorinG.S. 131E-r6(25): 131E-r^(l): 131E-183fh).
.6130 POLICIES FOR GENERAL ACUTE CARE HOSPITALS
(a) Use of Licensed Bed Capacity Data for Planning Purposes. For planning purposes the number of licensed beds shall be
determined by the Division of Facility Services in accordance with standards found in 10 NCAC 3C .6200 and .3102(d).
(b) Utilization of Acute Care Hospital Bed Capacit\. Conversion of underutilized hospital space to other needed purposes shall
be considered an alternative to new construction. Hospitals falling below utilization targets in Paragraph (e) of this Rule are assumed
to have underutilized space. Any such hospital proposing new construction must clearly demonstrate that it is more cost-effective
than conversion of existing space.
(c) Exemption from Plan Provisions for Certain Academic Medical Center Teaching Hospital Projects. Projects for which
certificates of need are sought h\ academic medical center teaching hospitals may qualify for exemption from provisions of 10 NCAC
3R .6107 through .6129.
(1) The State Medical Facilities Planning Section shall designate as an Academic Medical Center Teaching Hospital any
facility" whose application for such designation demonstrates the following characteristics of the hospital:
(A) Serves as a primary teaching site for a school of medicine and at least one other health professional school providing
undergraduate, graduate and postgraduate education.
(B) Houses extensive basic medical science and clinical research programs, patients and equipment.
(C) Serves the treatment needs of patients from a broad geographic area through multiple medical specialties.
(2) Exemption from the provisions of 10 NCAC 3R .6107 through .6129 shall be granted to projects submitted by Academic
Medical Center Teaching Hospitals designated prior to January 1 . 1990 which projects comply with one of the following
conditions:
(A) NecessarN to complement a specified and approved expansion of the number or types of students, residents or
faculty, as certified by the head of the relevant associated professional school; or
(B) Necessary to accommodate patients, staff or equipment for a specified and approved expansion of research activities.
as certified b\' the head of the entity sponsoring the research: or
(C) Necessary to accommodate changes in requirements of specialty education accrediting bodies, as evidenced by
copies of documents issued b\ such bodies.
(d) Reconversion to Acute Care. Facilities redistributing beds from acute care bed capacity to rehabilitation or psychiatric use shall
obtain a certificate of need to convert this capacity back to acute care. Application for reconversion of acute care beds converted to
psychiatry or rehabilitation back to acute care beds shall be evaluated against the hospital's utilization in relation to the target
occupancies for acute care beds shown beloyv. without regard to the acute care bed need determinations shoyvn in 10 NCAC 3R .6107.
Licensed Bed Capacity Percent Occupancy
i-49 65io
50:99 70%
100ii99 75%
200:699 80%
700- 81.5%
(e) Replacement of Acute Care Bed Capacity. The evaluation of proposals for either partial or total replacement of acute care beds
(i.e.. construction of ne\N space for existing acute care beds) shall be evaluated against the utilization of the total number of acute care
beds in the applicant's hospital in relation to the target occupancy of the total number of beds in that hospital which is determined
as follows:
Total Licensed Acute Care Beds Target Occupancy (Percent)
1:49 65%
50:99 70%
100ii99 75%
200z699 80%
700+ 81.5%
(f) Allogeneic Bone Marrow Transplantation Services. Allogeneic bone marrow transplants shall be provided only in facilities
having the capabiliK of doing HLA matching and of management of patients having solid organ transplants. At their present stage
of development it is determined that allogeneic bone marrow transplantation services shall be limited to Academic Medical Center
Teaching Hospitals.
(g) Solid Organ Transplantation Services. Solid organ transplant services shall be limited to Academic Medical Center Teaching
Hospitals at this stage of the development of this service.
AuthorinG.S. 13IE-r6(25l: UlE-l'-^tl): 131E-I83(b).
.6131 POLICIES FOR INPATIENT REHABILITATION SERVICES
194 NORTH CAROLINA REGISTER July 15,1998 13:2\
PROPOSED RULES
(a) After applying other required criteria, when superiority
among two or more competing rehabihtation facility certificate
of need applications is uncertain, favorable consideration shall
be given to proposals that make rehabilitation services more
accessible to patients and their families or are part of a
comprehensive regional rehabilitation network.
(b) Rehabilitation care which can be provided in an outpatient
or home setting shall be provided in these settings. All new
inpatient rehabilitation programs are required to provide
comprehensive outpatient rehabilitation services as part of their
service delivery programs.
Authority G.S. 131E-176(25): 131E-177(1); 131E-I83(b).
.6132 POLICY FOR AMBULATORY SURGICAL
FACILITIES
Multi-Specialty Ambulatory Surgery. After applying other
required criteria, when superiority among two or more
competing ambulatory surgical facility certificate of need
applications is uncertain, favorable consideration shall be given
to "multi-specialty programs" over "specialty programs" in areas
where need is demonstrated in 10 NCAC 3R .6109. A multi-
specialty ambulatory surgical program means a program
providing services in at least three of the following areas:
Medicare program. Beds developed under this Paragraph are
intended to provide placement for residents only when
placement m other long-term care beds is unavailable jn the
geographic area. Hospitals which develop beds under this
Paragraph shall discharge patients to other nursing facilities with
available beds in the geographic area as soon as possible where
appropriate and permissible under applicable law. Necessary
documentation including copies of physician referral forms (PL
2) on all patients in hospital-based nursing units shall be made
available for review upon request by duly authorized
representatives of licensed nursing facilities.
(c) For purposes of this Paragraph, beds in hospital-based
long-term nursing care shall be certified as a "distinct part" as
defined by the Health Care Financing Administration. Beds in
a "distinct part" shall be converted ft'om the existing licensed bed
capacity of the hospital and shall not be reconverted to any other
category or type of bed without a certificate of need. An
application for a certificate of need for reconverting beds to
acute care shall be evaluated against the hospital's service needs
utilizing target occupancies shown in J_0 NCAC 3R ■6130(d).
without regard to the acute care bed need shown in 1 NCAC 3R
.6107.
(d) A certificate of need issued for a hospital-based long-term
nursing care unit shall remain in force as long as the following
gynecology, otolaryngology, plastic surgery, general surgery. conditions are met:
ophthalmology, orthopedics, urology, and oral surgery. An
ambulatory surgical facility shall provide at least two designated
operating rooms with general anesthesia capabilities, and at least
one designated recovery room.
Authority G.S. 131 £-176(25): 131E-r-(l): 131E-183(b).
.6133 POLICY FOR PROVISION OF HOSPITAL-
BASED LONG-TERM NURSING CARE
(a) A certificate of need may be issued to a hospital which is
licensed under G.S. 13 IE. Article 5^ and which meets the
conditions set forth in this Paragraph and in 10 NCAC 3R . 1 100.
to convert up to 10 beds from its licensed acute care bed capacity
for use as hospital-based long-term nursing care beds without
regard to determinations of need in 10 NCAC 3R .6121 if the
hospital:
(1) is located in a county which was designated as non-
metropolitan by the US Office of Management and
Budget on January 1. 1998: and
(2) on January 1, 1998. had a licensed acute care bed
capacity of 1 50 beds or less.
The certificate of need shall remain in force as long as the
Department of Health and Human Services determines that the
hospital is meeting the conditions outlined in this Paragraph.
(b) "Hospital-based long-term nursing care" is defined as
long-term nursing care provided to a patient who has been
directly discharged from an acute care bed and cannot be
immediately placed in a licensed nursing facility because of the
unavailability of a bed appropriate for the individual's needs.
Determination of the patient's need for hospital-based long-term
nursing care shall be made in accordance with criteria and
procedures for determining need for long-term nursing care
administered by the Division of Medical Assistance and the
(1) the beds shall be certified for participation in the Title
XVlll (Medicare) and Title XIX (Medicaid)
Programs;
(2) the hospital discharges residents to other nursing
facilities in the geographic area with available beds
when such discharge is appropriate and permissible
under applicable law;
(3) patients admitted shall have been acutely ill inpatients
of an acute hospital or jts satellites immediately
preceding placement in the unit.
(e) The granting of beds for hospital-based long-term nursing
care shall not allow a hospital to convert additional beds without
first obtaining a certificate of need.
(f) Where any hospital, or the parent corporation or entity of
such hospital, any subsidiary corporation or entity of such
hospital, or any corporation or entity related to or affiliated with
such hospital by common ownership, control or management:
(1) applies for and receives a certificate of need for long-
term care bed need determinations jn 10 NCAC 3R
.6121; or
(2) currently has nursing home beds licensed as a part of
the hospital under G.S. 13 IE. Article 5; or
(3) currently operates long-term care beds under the
Federal Swing Bed Program (P.L. 96-499).
such hospital shall not be eligible to apply for a certificate of
need for hospital-based long-term care nursing beds under this
Rule. Hospitals designated by the State of North Carolina as
Rural Primary Care Hospitals pursuant to Section 1 820(f) of the
Social Security Act, as amended, which have not been allocated
long-term care beds under provisions of G.S. 13 IE- 175 through
131E-190. may apply to develop beds under this Paragraph.
However, such hospitals shall not develop long-term care beds
both to meet needs determined in 10 NCAC 3R .6121 and this
13:2
NORTH CAROLINA REGISTER
July 15, 1998
195
PROPOSED RULES
Paragraph.
(g) Beds certified as a "distinct part" under this Paragraph
shall be counted in the inventory of existing long-term care beds
and used in the calculation of unmet long-term care bed need for
the general population of a planning area. Applications for
certificates of need pursuant to this Paragraph shall be accepted
only for the February I review cycle. Beds awarded under this
Paragraph shall be deducted from need determinations for the
county as shown in U) NCAC 3R .6121. Continuation of this
Rule shall be reviewed and approved by the Department of
Health and Human Services annually. Certificates of need
issued under policies analogous to this policy in State Medical
Facilities Plans subsequent to the 1986 State Medical Facilities
Plan are automatically amended to conform with the provisions
of this Paragraph. The Department of Health and Human
Services shall monitor this program and ensure that patients
affected by this Paragraph are receiving appropriate services.
and that conditions under which the certificate of need was
granted are being met.
Authority- G.S. 131E-r6(25l: 131E-r^ll): 131E-183(b>.
.6134 POLICY FOR NURSING CARE BEDS IN
CONTINUING CARE FACILITIES
(a) Qualified continuing care facilities may include from the
outset, or add or convert bed capacirs' for long-term nursing care
without regard to tlie bed need shown in 10 NCAC 3R .6121.
To qualifs for such exemption, applications for certificates of
need shall show that the proposed long-term nursing bed
capacity:
ID
Will only be developed concurrently with, or
subsequent to construction on the same site, of
facilities for both of the following levels of care:
(A) independent
living
accommodations
(apartments and homes) for persons who are
able to carry out normal activities of daily
living without assistance; such
accommodations may be in thie form of
apartments, flats, houses, cottages, and rooms
within a suitable structure;
(B) licensed adult care home beds for use by
persons who, because of age or disability
require some personal services, incidental
medical services, and room and board to assure
their safety and comfort.
(2) Will be used exclusively to meet the needs of persons
with whom the facilin has continuing care contracts
(in compliance with the Department of Insurance
statutes and rules) who have lived in a non-nursing
unit of the continuing care facility for a period of at
least 30 days. Exceptions shall be allowed when one
spouse or sibling is admitted to the nursing unit at the
time the other spouse or sibling moves into a non-
nursing unit, or when the medical condition requiring
nursing care was not known to exist or be imminent
when the individual became a party to the continuing
care contract. Financial consideration paid by persons
purchasing a continuing care contract shall be
equitable betyveen persons entering at the independent
living and licensed adult care home levels of care.
(3) Reflects the number of beds required to meet the
current or projected needs of residents with whom the
facility has an agreement to provide continuing care,
after making use of al] feasible alternatives to
institutional nursing care.
(4) Will not be certified for participation in the Medicaid
program.
(b) One half of the long-term nursing beds developed under
this exemption shall be excluded from the inventory used to
project bed need for the general population. Certificates of need
issued under policies analogous to this policy in State Medical
Facilities Plans subsequent to the 1985 SMFP are automatically
amended to conform with the provisions of this Paragraph.
Certificates of need awarded pursuant to the provisions of
Chapter 920. Session Laws 1983. or Chapter 445. Session Laws
1985 shall not be amended.
Authority G.S. 131 £-176(25): 131 £-177(1): 131 £-183(1).
.6135 POLICY FOR DETERMINATION OF NEED
FOR ADDITIONAL NURSING BEDS IN
SINGLE PROVIDER COUNTIES
When a long-term care facility with fewer than 80 nursing care
beds is the only nursing care facility within a county, it may
apply for a certificate of need for additional nursing beds in
order to bring the minimum number of beds available within the
county to no more than 80 nursing beds without regard to the
nursing bed need determination for that county as listed in 10
NCAC 3R .6121.
Authority- G.S. 131£-176(25): 13l£-177(l): I31£-183(b).
.6136 POLICY FOR RELOCATION OF CERTAIN
NURSING FACILITY BEDS
A certificate of need to relocate existing licensed nursing
facility beds to another county (ies) may' be issued to a facility
licensed as a nursing facility under G.S. 1 3 1 E. Article 6. Part A.
provided that the conditions set forth in this Paragraph and in 10
NCAC 3R .1 100 and the review criteria in G.S. 13 1E-I83(a) are
met.
(I) A facility applying for a certificate of need to relocate
nursing facility' beds shall demonstrate that:
(a) it is a non-profit nursing facility supported by
and directly affiliated with a particular religion
and that it is the only nursing facility in North
Carolina supported by and affiliated with that
religion;
(b) the primary purpose for the nursing facility's
existence is to provide long-term care to
followers of the specified religion in an
environment which emphasizes religious
customs, ceremonies, and practices;
(c) relocation of the nursing facility beds to one or
more sites is necessary' to more effectively
provide long-term nursing care to followers of
the specified religion in an environment which
196
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
emphasizes religious customs, ceremonies, and practices:
(d) the nursing facility is expected to serve
followers of the specified religion fi"om a
multi-count\' area; and
(e) the needs of the population presently served
shall be met adequately pursuant to G.S. 1 3 1 E-
183.
£2] Exemption from the provisions of 10 NC AC 3 R .6121
shall be granted to a nursing facility for purposes of
relocating existing licensed nursing beds to another
county provided that it complies with all of the criteria
listed in this Rule.
(3) Any certificate of need issued under this Rule shall be
subject to the following conditions:
(a) the nursing facility shall relocate beds in at
least two stages over a period of at least six
months: and
(b) the nursing facility shall provide a letter to the
Medical Facilities Licensure Section, on or
before the date that the first group of beds are
relocated, irrevocably committing the facility to
relocate all of the nursing facility beds for
which it has a certificate of need to relocate:
and
(c) subsequent to providing the letter to the
Medical Facilities Licensure Section described
in Subitem (3)(b) of this Rule, the nursing
facility shall accept no new patients in the beds
which are being relocated, except new patients
who, prior to admission, indicate their desire to
transfer to the facility's new location(s).
Authority G.S. !31E-176(25}: 131E-177(1); 131E-183(b).
.6137 POLICY FOR HOME HEALTH SERVICES
Need Determination Upon Termination of County's Sole
Home Health Agency. When a home health agency's board of
directors, or in the case of a public agency, the responsible
public body, votes to discontinue the agencN's provision of home
health services: and
(1) the agency is the only home health agency with an
office physically located in the county: and
(2) the agency is not being lawfully transferred to another
entity:
need for a new home health agency office jn the county is
thereby established through this Rule. Following receipt of
written notice of such decision from the home health agency's
chief administrative officer, the Certificate of Need Section shall
give public notice of the need for one home health agency office
in the county, and the dates of the review of applications to meet
the need. Such notice shall be given no less than 45 days prior
to the final date for receipt of applications in a newspaper
serving the county and to home health agencies located outside
the county reporting serving county patients in the most recent
licensure applications on file.
Authority G.S. 131 £-176(25): 131E-177(1): 131E-183(b>.
.6138 POLICY FOR END-STAGE RENAL DISEASE
DIALYSIS SERVICES
Relocation of Dialysis Stations. Relocations of existing
dialysis stations are allowed only within the host county and to
contiguous counties currently served by the facility. Certificate
of need applicants proposing to relocate dialysis stations shall:
(1) demonstrate that the proposal shall not result in a
deficit in the number of dialysis stations in the county
that would be losing stations as a result of the
proposed project, as reflected in the most recent
Semiannual Dialysis Report: and
£2} demonstrate that the proposal shall not result in a
surplus of dialysis stations in tlie county that would
gain stations as a result of the proposed project, as
reflected in the most recent Semiannual Dialysis
Report.
Authority G.S 131E-176(25): 131E-177(1): 131E-183(h).
.6139 POLICIES FOR PSYCHIATRIC INPATIENT
FACILITIES
(a) Transfer of Beds from State Psychiatric Hospitals to
Community Facilities. Beds in the State psychiatric hospitals
used to serve short-term psychiatric patients may be relocated to
community facilities. However, before beds are transferred out
of tlie State psychiatric hospitals, appropriate services and
programs shall be available in tlie community. State hospital
beds which are relocated to community facilities shall be closed
within 90 days following the date the fransferred beds become
operational in tlie community. Facilities proposing to operate
transferred beds shall commit to serve the type of short-term
patients normally placed at the State psychiatric hospitals. To
help ensure that relocated beds will serve those persons who
would have been served bv the State psychiatric hospitals, a
proposal to transfer beds from a State hospital shall include a
written memorandum of agreement between the area
MH/DD/SAS program serving the county where the beds are to
be located, the Secretary' of Human Resources, and the person
submitting the proposal.
(b) Allocation of Psychiatric Beds. A hospital submitting a
Certificate of Need application to add inpatient psychiatric beds
shall convert excess licensed acute care beds to psvchiafric beds.
In determining excess licensed acute care beds, the hospital shall
subtract the average occupancy rate for its licensed acute care
beds over the previous 1 2-month period from the appropriate
target occupancy rate for acute care beds listed in 10 NCAC 3R
.6130(d) and multiply the difference by the number of its
existing licensed acute care beds.
(c) Linkages Betyveen Treatment Settings. An applicant
applying for a certificate of need for psychiatric inpatient facility
beds shall document that the affected area mental health,
developmental disabilities and substance abuse authorities have
been contacted and invited to comment on the proposed services.
Authority G.S. 131 £-176(25): 131£-177(1): 131E-183(b).
.6140 POLICY FOR CHEMICAL DEPENDENCY
TREATMENT FACILITIES
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197
PROPOSED RULES
Linkages Between Treatment Settings. An applicant applying
for a certificate of need for chemical dependency treatment
facility beds shall document that the affected area mental health,
developmental disabilities and substance abuse authorities have
been contacted and inyited to comment on the proposed services.
Authority G.S. I31E-176(25); 131 £-177(1); 131E-183(b).
.6141 POLICIES FOR INTERMEDIATE CARE
FACILITIES FOR MENTALLY RETARDED
(a) Determination of Intermediate Care Bed Need for
Mentally Retarded^Developmentally Disabled Persons. After
a pplying other required criteria, when superiority among two or
more competing ICF/MR certificate of need applications is
uncertain, favorable consideration shall be given to counties that
do not have ICF/MR group homes when such counties are p art
of a multi-county area for which a need is shown in 10 NCAC
3R .6129.
(b) Linkages Between Treatment Settings. An applicant
applying for a certificate of need for intermediate care facility
beds for mentally retarded shall document that the affected area
mental health, developmental disabilities and substance abuse
authorities have been contacted and invited to comment on the
proposed services.
Authont^■ G.S. 131E-r6(25): 131E-I77(1); 131E-183(b).
■K "K -X "K
Notice is hereby given in accordance with G.S. 150B-21.2
that the Secretary ofHeaUh and Human Services intends
to amend rule cited as 10 NCAC 14C .1151. Notice of Rule-
making Proceedings was published in the Register on December
15. 1997.
Proposed Effective Date: April 1. 1999
Instructions on How to Demand a Public Hearing (must be
requested in writing within 15 days of notice): .4 demand for
public hearing must be requested in writing within 15 days of
this notice and addressed to Charlotte F. Hall. Division of
MH/DD/SAS 325 N. Salisbury Street. Raleigh. NC 2:- 60 3-5906.
Reason for Proposed Action: In accordance with Senate Bill
352. Section 11.11(1) of the 1997-554 Session Laws, to enact
temporary rules to reduce Medicaid Spending, Fraud, and
Abuse: and in that regard to provide proper procedures for
enrollees to appeal ach'erse decisions by a contracting area
program as set forth in this Rule. Federal regulation requires
that a State plan provide an opportunity for a fair hearing to any
person whose claim for assistance is denied or not acted upon
promptly.
Comment Procedures: Written comments should be submitted
to Charlotte F. Hall. Rule-making Coordinator. Division of
Mental Health Developmental Disabilities and Substance .Abuse
Senices. 325 N. Salisbun,' Street. Albemarle Building. Raleigh.
NC 2~ 603-5906.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
have a substantial economic impact of at least five million
dollars (S5.000.000) in a 12-month period.
CHAPTER 14 - MENTAL HEALTH: GENERAL
SUBCHAPTER 14C - GENERAL RULES
SECTION .1 100 - STATE AND FEDERAL FUNDS
ADMINISTERED
.1151 CAROLINA ALTERNATIVES
(a) The Division may contract with area programs to
implement a managed care program for mental health and
substance abuse services for children pursuant to a waiver
granted by the Secretary of the United States Department of
Health and Human Services in accordance with Title XIX of the
Social Security Act, known as the Carolina Alternatives
program.
(b) Funding shall be made available through monthly
capitation payments received from the Division of Medical
Assistance.
(c) Funds shall be awarded and settled based on the
provisions in the contract between the Division and the area
program.
(d) Enrollees shall have the right to appeal adverse decisions
by a contracting area program, which are defined as:
(1) denial of a request for first-time service or a service
other than the current service;
(2) reduction of a current service:
(3) suspension of a current service: or
(4) termination of a current service.
(e) The Division shall comply, and shall insure that
contracting area programs comply, with the following appeals
procedures:
( 1) Notification letter:
iAJ
tm
IQ
The area program shall send, via regular mail
or pass by hand, a notification letter at the time
of service authorization or at another time not
later than 10 working days before the date of
the action (reduction, suspension or
termination).
The area program shall mail the notification
letter the same day as the date of the letter jn
order to provide the recipient with the legal
time period in which to appeal.
When hand delivered, documentation that the
t2j
individual was given notice shall be
represented by the date m the notification
letter.
A denial of requested services requires a
notification, but is an exception to the lO-day
advanced notification requirement.
The notification letter shall contain the following
information:
mi
specific information;
reasons for the decision;
198
NORTH CAROLINA REGISTER
July 15, 1998
13:2Uii
1^
PROPOSED RULES
£3}
(C) Medicaid regulations that support the decision:
(D) the right to a State informal and formal hearing
on the decision;
£E} the right to a hearing when State or Federal law
requires a change in service;
(F) circumstances m which an expedited appeal
may be requested;
(G) steps required to start an appeal;
(H) circumstances in which Medicaid is continued
until a hearing decision. If an individual
appeals to the State DMH/DD/SAS or to the
Office of Administrative Hearings (OAH)
before the effective date of the proposed
service reduction, termination, or suspension,
noted in the letter, authorization for payment of
the individual's current services will continue
until a decision is issued; and
(1) that if an individual abandons or loses an
appeal, the State has the legal right to recover
the cost of the disputed treatment, and that such
costs are accumulated from the beginning of
the date of the service reduction, termination or
suspension.
The notification letter also shall contain treatment
continuation information as follows:
(A) the area program may offer other treatment
services when it denies a person's request for a
specific treatment.
(B) the individual may receive the treatment
specifically requested by paying for it.
(C) when and if the individual's medical condition
changes, the area program will re-evaluate the
request for a specific treatment.
(4) Exceptions to 10-day notification requirement. Notice
shall be given no later than the date of the service
reduction, termination or suspension where:
(A) recipient's treating physician changes the
service (e.g.. discharge from a short term or
crisis hospitalization);
(B) agency has factual information confirming the
death of the enrollee;
(C) agency receives a written statement signed by
an enrollee that services are no longer desired;
or gives information that requires termination
or reduction of services and understands that
this must be the result of supplying that
information;
(D) enrollee has been admitted to a service that is
not included in the approved service network;
and
(E) location of the enrollee is unknown as certified
by the post office.
(f) Requesting a State Informal Hearing:
(1) Medicaid recipients have a right to an informal
hearing by an impartial hearing officer at the Division
of Mental Health. Developmental Disabilities and
Substance Abuse Services (DMH/DD/SAS).
(2) This right shall be secured by returning the appeal
form (included with the notification letter) to the State
DMH/DD/SAS.
(3) The form may be sent by mail, facsimile, or hand-
delivered.
{4j Upon receipt of an informal appeal request, the
DMH/DD/SAS shall contact the enrollee and schedule
a hearing before a hearing officer within 30 days from
receipt of the written request.
(5) Ihe DMH/DD/SAS shall inform the enrollee in
writing of the hearing date, the hearing procedures,
and of their legal rights during the hearing.
£6} The DMH/DD/SAS promptly shall inform the area
program of the appeal. With the enrollee's
permission, the area program shall contact the enrollee
within three working days of notification from
DMH/DD/SAS to begin its impartial dispute
resolution process:
(A) Each area program shall have an informal
dispute resolution process that is approved in
writing by DMH/DD/SAS; and
(B) The process shall include both impartial
dispute resolution and impartial
clinical/medical review.
(7) Informal hearing procedure:
(A) The enrollee has the right to an in-person
hearing. Before the hearing, the enrollee has
the right to review the case file and all records
that will be used at the hearing.
(B) The enrollee shall not be denied access to
review these documents.
(C) All written material that the enrollee or his
representative want presented at the hearing
must be received by the Division hearing office
at least five days before the scheduled hearing.
(D) If the enrollee or his representative fails to
appear at the scheduled hearing, without good
cause, the hearing still will be held. "Good
cause" means circumstances beyond the control
of the enrollee or his representative.
(E) If at any time during the process the enrollee's
medical condition worsens and the enrollee is
re-evaluated for authorization for the current or
higher service, the informal appeal shall be
concluded in favor of the enrollee.
(F) The hearing officer shall give appropriate
consideration to aU matters and documents
presented either by the enrollee or by the area
program. Witnesses shall not be required to
take an oath before making a statement.
(G) Neither the North Carolina Rules of Evidence.
the Federal Rules of Evidence, the North
Carolina Rules of Civil Procedure, nor the
Federal Rules of Civil Procedure shall govern
the hearing procedures.
(H) The hearing officer shall insure that the hearing
is conducted in a fair, impartial, and non-
adversarial manner.
(I) The hearing officer shall issue a written
13:2
NORTH CAROLINA REGISTER
July 15, 1998
199
PROPOSED RULES
decision of his findings and conclusions, and
shall send a cop\ to the enroilee and to the area
program. The uTitten decision shall notify the
enroilee of the right to appeal an adverse
decision to the Office of Administrative
Hearings (OAH) and the time period within
which such appeal must be filed. The written
decision shall include a Petition for Contested
Case Hearing appropriate for filing at OAH.
(8) State Formal Hearing:
(A) The enroilee has the right to appeal an adverse
decision by an area program directK to the
OAH for a formal. e\ identiar> hearing.
(B) The enroilee also ma\ appeal a DMH DP SAS
hearing officer's adverse decision to OAH.
(C) Either appeal must be filed in accordance with
G.S. I50B.
(D) If an enroilee appeals an area program adverse
decision directK to OAH before the effective
date of the proposed reduction, termination, or
suspension, authorization for the current
service will continue until a Recommended
Decision is issued b\ OAH.
(E) If an enroilee appeals an area program adverse
decision after the effective date of the proposed
reduction, termination, or suspension, the area
program is not required to continue
authorization for the current ser\ ice.
ID if an enroilee appeals the DMH DP SAS
hearing officer's decision to OAH. the area
program is required to continue or reinstate
authorization for the current service until a
Recommended Decision is issued bv OAH.
(G) If an enroilee appeals an area program adverse
decision after the effective date of the proposed
reduction, termination, or suspension, the area
program is not required to continue
authorization for the current service.
(9) Recovery Procedures: If an enroilee abandons an
appeal, or if after an appeal through OAH. the
DMH DP SAS Final Agency Pecision upholds the
area program's adverse decision, the State may
commence to recover the financial costs of anv
unauthorized sen, ices furnished to the enroilee as the
result of taking the appeal. Financial costs accumulate
from the area program's proposed date of service
reduction, termination or suspension.
(10) Expedited Appeals:
(A) Emergency appeals mav be initiated bv oral or
written communication to tlie area program or
to the PMH PP S.AS. To start an emergency
appeal the enroilee or his legally responsible
person must attest, and a reasonably prudent
person must believ e. that serv ices are urgently
needed and the failure to provide them
promptly or to continue them might reasonably
cause deterioration, or impair improvement, in
the enrollee's medical condition.
(B) The area program shall conduct an expedited
review within 24 hours of receipt of the
request, and if its review upholds the adverse
decision, the area program shall directly
forward its decision and a copy of all relevant
medical records to the PMH PPSAS.
(C) The PMH PPSAS shall issue its decision
within two working davs of the enrollee's
request for expedited review.
(P) The area program is required to continue
authorization for the current sen, ice through an
expedited appeal until the appeal is abandoned
or OAH issues a Recommended Pecision.
Authority- G.S. 122C-14: 122C-143.1: 122C-143.2: 122C-14':
122C-14-.1; 122C-147.2: 42 C.F.R. 431; Social Security Act,
Waiver under Sections 1915(b(l)) and (b)(4).
TV ^ ye -x
XKXXXXXXXW^
Notice is hereby given in accordance with G.S. 150B-21.2
that the Social Sen-ices Commission intends to amend the
rules cited as 10 .\C.4C 42C .3401. .3403. .3404. .3601. Xotice
of Rule-making Proceedings was published in the Register on
January 2. 1998.
Proposed Effective Date: .April 1. 1999
A Public Hearing will be conducted at 10:00 a.m. on
September 9. 1998 at the Albermarle Building. Room 943-2. 325
Sorth Salisbury Street. Raleigh. \C 2~603.
Reason for Proposed Action: To adopt as permanent rules the
temporary version of the licensure rules governing adult care
homes which were adopted pursuant to Senate Bill 53.
Comment Procedures: .Anyone wishing to comment on these
proposed rules should contact Sharnese Ransome, Special
.Assistant to the Director. .\C Division of Social Ser\-ices. 325 A'.
Salisbury Street. Raleigh. .\C 2'603. (919) '33-3055.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars (S 5. 000. 000) in a 1 2-month period.
CHAPTER 42
INDIVIDUAL AND FAMILY
SUPPORT
SUBCHAPTER 42C - LICENSING OF FAMILY
CARE HOMES
SECTION .3400 - LICENSING INFORMATION
.3401 THE LICENSE
(a) The license w4W shall be issued bv the Division of Facility-
Services wh e n, in the Pivision's judgment, when minimum
requirements for licensing have been met under the rules of this
200
NORTH C.4ROLI.\.4 REGISTER
July 15, 1998
13:2
PROPOSED RULES
Subchapter. It must The license shall be conspicuously posted
in a public place in the home.
(b) The license shall be in effect for 1 2 months from the date
of issuance unless revoked for cause, voluntarily or involuntarily
terminated, or changed to provisional licensure status.
(c) A provisional license may be issued in accordance with
th e following: G.S. 131D-2(b) .
ft^ A provisional lic e ns e may b e issu e d by th e Divi s ion
of Facility Servic e s to a n e wly lic e n se d facility or too
facility und e rgoing a plann e d change of administrator
when th e r e or e minor deficienci e s which would not
e ndang e r th e h e alth, saf e ty or w e ll b e ing of r e sid e nts;
(3) A provisional lic e nse may b e issu e d to a facility wh e n
violations of th e rul e s of this Subchapt e r e ndang e r th e
h e alth, safety or w e ll b e ing of r es id e nts, or when the
administrator fails to submit a plan of corr e ction
wh e r e l e ss e r infi"actions have been cited, or wh e n
corr e ctions hav e not been fully made in accordanc e
with th e administrator's approv e d plan of correction;
(^ Th e monitoring and lic e nsing proc e ss b e gins with th e
county d e partm e nt of s ocial s e rvic e s citing all
violations of th e rul e s of this Subchapt e r and
r e qu es ting the home to pr e par e a plan of corr e ction.
Upon approving the plan of corr e ction, th e county
d e partm e nt of s ocial s e rvic e s will monitor the hom e 's
complianc e with the approved plan through follow up
vi s its to th e hom e . If th e planned corrections have not
b ee n made within the time agre e d to by th e
administrator and approv e d by the county d e partm e nt
of social — se rvic e s, th e county ' d e partment will
imm e diat e ly notify' th e Divi s ion of Facility S e rvic es
and r e qu es t its a s si s tanc e in as s uring complianc e ;
(4) Wh e n it i s all e g e d by th e county d e partm e nt of s ocial
s e rvic es that a facility is out of complianc e with th e
rul es of this Subchapt e r and that on e of th e condition s
m e ntion e d in Subparagraphs (c)(1) and (2) appli e s,
th e Division of Facility S e rvic e s will provid e writt e n
notification to th e administrator of th e all e g e d facts or
all e g e d conduct which may warrant th e issuanc e of a
provisional lic e ns e . This notic e will also announc e
th e forthcoming visit by a consultant of th e Division
of Facility S e rvic e s to th e facility to provid e the
administrator with an opportunity to show th e hom e 's
complianc e with th e rul e s of this Subchopt e r;
(^ Ba se d on th e consultant's findings regarding th e
all e g e d facts or all e g e d conduct which are to bo
shar e d in writing with th e administrator, th e Division
of Facility S e rvic e s may notify' the admini s trator of
th e discontinuanc e of th e plan of corr e ction ba se d on
finding no violations, or e xtend the tim e allow e d to
corr e ct th e violations if th e r e is just cause, or issu e a
provisional lic e ns e to th e hom e ;
{^ If a provi s ional lic e ns e is issued, th e Division of
Facility S e rvic es will provid e th e administrator with
a written notic e sp e cify'ing th e reasons for th e
provisional licens e , th e corr e ctiv e action n ee d e d, th e
tim e fram e and any oth e r conditions impos e d;
f?) A provisional licens e may b e issu e d for a duration of
not l e ss than 30 days nor mor e than 90 days. If the
Divi s ion of Facility S e rvic e s finds just cau se for a
hom e 's failur e to corr e ct all violations within the
initial time p e riod, it may e xt e nd th e provisional
lic e ns e an additional 30 to 90 days. Additional
e xt e nsions of b e tw ee n 30 to 90 days may be allow e d
but in no ca se will a hom e b e p e rmitt e d to r e main on
e xtended provisional statu s for mor e than on e y e ar;
(S) If a hom e has held a provisional lic e n se for on e y e ar,
its lic e ns e will t e rminat e on the anniversary dat e of
th e initial issuanc e of th e provisional license on th e
basi s of it s continu e d failur e to comply with th e rul e s
of this Subchapt e r;
(9) Th e administrator i s r es pon s ibl e for notify'ing th e
Division of Facility S e rvic es through th e county
d e partment of social s e rvic e s wh e n it has corr e ct e d all
violations. — Th e Division of Facility S e rvic e s must
v e rify' corr e ctions within 10 working days of th e
notification and r e issu e the homo's original licens e if
corr e ctions ar e confirm e d;
fW) During th e tim e p e riod in which a provisional licen se
is initially issu e d, staff of th e county departm e nt of
social s e rvic e s and th e Division of Facility Services
will conc e ntrat e th e ir efforts to provid e the hom e with
consultation and t e chnical assistanc e through frequent
visits to th e facility and conf e rences with th e
administrator. The purposes of thi s contact ar e to aid
th e home in its efforts to achiev e full complianc e with
th e rules of thi s Subchapter, to make th e hom e w e ll
awar e of th e con se qu e nc e s of non complianc e , and to
docum e nt th e hom e ' s progr es s toward complianc e ;
(1 l) (d) When a provisional license is issued, the
administrator mast shall post the lic e nsur e docum e nt provisional
license and a copy of the notice from the Division of Facility
Services identifying the reasons for it, in place of the full
license.
Authority G.S. 131D-2: I43B-153.
.3403 TERMINATION OF LICENSE
(a) The Division of Facility Services shall take action to
lic e ns e will automatically terminate the license when one of the
following situations exist:
(1) change of admini s trator ownership of the adult care
home business ; or du e to illness, retir e m e nt, d e ath,
p e rsonal r e qu es t, or any oth e r r e a s on;
(2) change of location of heme; home.
(5^ sal e or l e as e of hom e by admini s trator;
(4) anniv e rsary — date — of — provisional — lic e ns e — held
continuously for on e y e ar;
iS) r e quir e d lic e nsing r e n e wal materials ar e not r e c e iv e d
by th e Divi s ion of Facility Servic e s by e xpiration
Qulc.
(b) The license is not transferable or assignable.
(c) The unexpired license shall be returned to the state
Division of Facility Services by the county department of social
services with the following information:
13:2
NORTH CAROLINA REGISTER
July IS, 1998
201
PROPOSED RULES
(1) reason for closing,
(2) date of closing.
(3) plans made for residents,
(d) When an admini s trator the owner of the adult care home
business voluntariK closes his home, a signed statement to this
effect m«st shall be submitted to the count> department of social
serv ices who wtU shall immediateK fon\ ard the statement to the
Division of Facility. Services. The Administrator o\sner or his
designee must shall give at least 30 da\ s prior notice of the
closing to the county department of social services and the
residents or their responsible persons.
AuthonnG.S. 13W-2: 143B-153.
.3404 DENI.\L AND REVOCATION OF LICENSE
(a) A license ma> be denied or r e vok e d b\ the Division of
FacilitN' Services at w\y tim e for s ub s tantial failure to compK'
with the rules of this Subchapter.
(b) Denial or r e vocation of lic e nsur e by the Division of
Facilitv Services shall be effected by mailing to the applicant ef
lic e ns e hold e r . b\ registered mail, a notice setting forth the
particular reasons for such action. Such d e nial or r e vocation
b e com e s eff e ctiv e 20 davs aft e r mailing th e notic e .
(c) A license ma\ be revoked by the Division of Facihty
Services in accordance with G.S. 131D-2(b) and G.S. 13ID-29.
fe^d) When a facilitv' receives a notice of revocation, the
administrator shall inform each resident and his responsible
person of the notice and the basis on which it was issued.
Author in- G.S. 131D-2.
SECTION .3600 - ADMINISTRATIVE PENALTY
DETERMINATION PROCESS
.3601 ADMINISTRATIVE PENALTY
DETERMINATION PROCESS
(a) The county department of social services or the Division
of Facility Services shall identity areas of non-compliance
resulting from a complaint investigation or monitoring or survey
visit which mav be violations of residents' rights contained in
G.S. 131D-21 or rules contained in this Subchapter. If the
county department of social serv ices or the Division of Facility
Services decides to r e comm e nd an administrativ e p e nalty as
d e fin e d in G.S. 13 ID 3 t that the violation is a Type B violation
as defined in G.S. 131D-34(a)(2). u shall require a plan of
correction pursuant to G.S. 131D-34(a)(2). If the counts
department of social services or the Division of Facility Services by — the — P e nalty — R e vi e w — Committee. U- — the — p e nalt)'
decides that the violation js a Tvpe A violation as defined jn
G.S. 131D-34(a)( I ). it shall follow the procedure required m
G.S. 13ID-34(a)(I )(a)-(c) and prepare an administrative penalty
a copy of the contents of the proposal; and then extended an
opportunity to request a local conference with the county
d e partment — &f — social — s e rvic es agency proposing the
administrative penalty, allowing the licensee 1 days to respond
prior to forwarding the proposal to the Department. The
conference, if requested of the county departmen t of social
services, shall include the county department director or his
designee, manag e m e nt s taff The licensee may request a
conference and produce information to cause the county
d e partm e nt of social s e rvic e s agency recommending the
administrative penalty to change its proposal. The county
d e partm e nt of social — s e n'ic e s agency recommending the
administrative penalty mav rescind its proposal: or change its
proposal and submit it to the Department or submit it unchanged
to the Department pursuant to G.S. 13ID-34(c2).
(b) An assistant chief of the Domiciliary and Group Care
Licensure Section shall receive the proposal, and review it for
completeness and evaluate jt to determine the penalU' amount.
(1) If the proposal is complete, the assistant chief shall
make a decision on the typ e and amount of penalty to
be submitted for consideration and whether to
recommend training m lieu of an administrative
penalty pursuant to G.S. I3ID-34(gl ).
(2) If the proposal is incomplete, the assistant chief shall
contact the county d e partm e nt of social s e rvic e s to the
agency that submitted the proposal to request
necessary changes or additional material.
(3) When the proposal is complete and a typ e and the
amount of penalty determined, the assistant chief shall
forward the proposal to the administrative penalty
monitor for processing. If the assistant chief
recommends training in lieu of an administrative
penalty pursuant to G.S. 13ID-34(gI ). the
recommendation shall be forwarded with the proposal.
(c) The Department shall notify the licensee bv certified mail
within 1 vv orking day s from the time the proposal is received by
the administrative penalty monitor that an administrative penalty
is being considered.
(d) The licensee shall have 10 working davs from receipt of
the notification to prov ide both the Department and the county
department of social services anv additional information relating
to the proposed administrative penalty .
(e) If th e p e nalty r e comm e ndation is classifi e d as a Typ e B
violation and is not a r e p e at violation as d e fin e d bv G.S. 13 ID
3 ' 1. th e lic e ns ee shall b e notifi e d of th e typ e and amount of th e
p e nalty and mav accept the r e comm e ndation inst e ad of r e vi e w
r e comm e ndation is acc e pt e d, th e licensee must notify th e
administrativ e p e nalty monitor bv' c e rtifi e d mail within fiv e
proposal for submission to the Department . The proposal shall
include a copy of the written confirmation required m G.S.
131D-34(a)( 1 )(c) and documentation that the licensee was
notified of the countv department of social services" or the
Division of Facility Services" intent to prepare and forward an
administrative penalty proposal to the Department: offered an
opportunity to provide additional information prior to the
preparation of the proposal: after the proposal is prepared, given
working dav s following r e c e ipt of th e r e comm e ndation. — The
lic e n see must includ e paym e nt of th e p e nalty with th e
notification. If pavTn o nt is not rec e iv e d, th e r e commendation
s hall b e forward e d to th e P e nalty Revi e w Committ ee . If a
facility fails to correct a Tvpe A or a Type B violation within the
time specified on the plan of c orrection, an assistant chief of the
Group Care Licensure Section shall make a decision on the
amount of penalty pursuant to G.S. l31D-34(b)(l) and [2j and
submit a penalty proposal for consideration by the Penalty
k
202
NORTH CAROLINA REGISTER
July 15, 1998
13:2U\i
n
PROPOSED RULES
recommendations after review of administrative penalty
proposals, any supporting evidence, and any additional
information submitted by the licensee as described in Paragraph
(d) of this Rule that may hav e a b e aring on th e propo s al such as
months or within the tim e p e riod of th e pr e vious lic e nsur e docum e ntation not available during th e complaint inv e stigation
Review Committee.
{^ — The — Penalt>' R e vi e w Committee must review a
recomm e nded p e nalt>' wh e n: it is a Typ e A violation; is a T>p e
B violation that has boon pr e viously cit e d during th e pr e vious 1 2
insp e ction, which e v e r tim e is longer; or is a T>p e B violation as
provid e d in Paragraph ( e ) of this Rul e which is not acc e pt e d by
the lic e ns ee . .
(g) — A subcommitt ee of th e P e nalty Review Committ e e
consisting of four committ ee m e mb e r s assigned by the Penalty
R e vi e w Committ ee chair shall me e t to initially r e vi e w non r e p e at
Typ e B violations. Th e P e nalty R e vi e w Committ ee chair shall
appoint th e subcommittee chair and shall b e an e x officio
m e mb e r of th e Penalty R e vi e w committ ee subcommitt ee .
Provid e r s , complainants, aff e ct e d parti e s and any m e mb e r of th e
public may att e nd this m ee ting. — Th e admini s trativ e p e nalty
monitor shall b e r e sponsibl e for informing parti es of th e s e
meeting dat e s with th e e xc e ption that th e ag e ncy which
conduct e d th e complaint inv e stigation s hall b e r e sponsibl e for
notifying th e complainant, if any.
(h^ — Tim e shall b e allow e d during the P e nalty R e vi e w
committ ee subcommitt ee meetings for individual pr ese ntations
conc e rning propo s ed penaltie s . — Th e total time allowed for
pr e s e ntation conc e rning e ach facility, the ord e r in which
pr e s e nt e r s shall sp e ak and length of pr e sentations s hall b e
d e t e rmin e d by th e P e nalt>' R e vi e w Committ ee subcommitt ee
chair.
or monitoring or sur\'ey visit, action tak e n to corr e ct the
violation and plans to pr e v e nt the violation from r e curring, and
the factors specified in G.S. 131D-34(c).
ffi(h) There shall be no taking of sworn testimony ner or
cross-examination of anyone during the course of the P e nalty
R e vi e w Committ e e subcommitt ee or frill Penalty Review
Committee meetings.
fFFhKi) If the Penalty Review Committee determines that the
licensee has violated applicable rules or statutes, the Penalty
Review Committee shall recommend an adminisfrative penalty
typ e and amount for each violation pursuant to G.S. 131D-34.
Recommendations for domiciliar>' adult care home penalties
shall be submitted to the Chief of the Domiciliary and Group
Care Licensure Section who shall have five working days from
the date of the Penalty Review Committee meeting to determine
and impose administrative penalties for each violation or require
staff training pursuant to G.S. 131D-34(gl) and notify the
licensee by certified mail.
(fi){jj The licensee shall have 60 days from receipt of the
notification to pay the penalty or must file a petition for a
contested case with the Office of Administrative Hearings within
30 days of the mailing of the notice of penalty imposition as
(i) Th e admini s trativ e p e nalty monitor s hall hav e fiv e working provided by G.S. 131 D-34.
day s from th e m ee ting dat e to notify th e facility and involv e d
parti es of p e nalty r e comm e ndations mad e by th e P e nalt>' R e vi e w Authority G.S. 131D-2; 13 1 D-34; 143B-153.
Committ ee s ubcommitt ee with th e e xc e ption that th e ag e ncy
Notice is hereby given in accordance with G.S. 1508-21. 2
thai the Secretary for Health & Human Sen'ices intends to
adopt the rule cited as 10 NCAC 49B .0315. Notice of Rule-
making Proceedings was published in the Register on March 16,
1998.
which conduct e d th e complaint inv es tigation shall b e r e sponsibl e
for notify'ing th e complainant, if any. Th e s e r e comm e ndations
including — the — vote — of th e — P e nalt>' — R e vi e w — Committ ee
subcommitt ee shall b e submitt e d for r e vi e w by the full P e nalty'
R e vi e w Committ ee at a m ee ting sch e dul e d for th e following
month. .
(j)£fl The friH Penalty Review Committee shall consider Type
A violations and non r e p e at Type A and Type B violations
r e f e rr e d by th e P e nalty R e view Committ ee s ubcommitt ee , that Proposed Effective Date: April 1, 1999
have not been corrected within the time frame specified on the
plan of correction. Providers, complainants, affected parties and
any member of the public may attend fuH Penalty Review
Committee meetings. Upon written request of any affected party
for reasons of illness or schedule conflict, the department may
grant a delay until the following month for Penalty Review
Committee review. The Penalty Review Committee chair may
ask questions of any of these persons, as resources, during the
meeting. Time shall be allowed during the meeting for
individual presentations which provide pertinent additional
information. The order in which presenters speak and the length
of each presentation shall be at the discretion of the Penalty
Review Committee chair.
{k)tg] The Penalty Review Committee and th e P e nalty
R e view Committ ee subcommittee shall have for review the
entire record relating to the penalty recommendation
r e commendation. Th e P e nalty R e vi e w Committ ee and th e P e nalty
Review — Committee — subcommitt ee and shall make
A Public Hearing will be conducted at 10:00 a.m. on
September 9. 1998 at the Albermarle Building, Room 943-2, 325
North Salisbury Street, Raleigh, NC 27603.
Reason for Proposed Action: P.L 104-193 changed the face
of welfare for all states. The most fundamental change was to
establish the Temporary Assistance for Needy Families (TANF)
Block Grant. In addition to other requirements, the law
mandated stricter work participation rates than had been in
place under prior law. For FY 1998, 75% offamilies with two
able-bodied parents must be working or participating in a
countable work activity an average of 35 hours per week (or 55
hours if child care is provided). The participation rate was 50%
under prior Ian: Further, states who fail to meet this two-parent
participation rate stand to lose part of their Temporary
Assistance for Needy Families (TANF) Block Grant. This could
13:2
NORTH CAROLINA REGISTER
July 15, 1998
203
PROPOSED RULES
be approximately S15 million in \orth Carolina although
proposed federal regulations may soften this sanction slightly by
stating the fiscal sanction would be in the same ratio that two-
parent families are of the total Work First families. Two-parent
families make up slightly over 2% of the State's total Work First
families. So. in North Carolina, the sanction would be
approximately 2% of the 5% fiscal sanction.
Comment Procedures: .Anyone wishing to comment should
contact Sharnese Ransome. AP.4 Coordinator. A'C Division of
Social Ser\ices. 325 A'. Salisbury Street. Raleigh, A'C 2 '603.
phone (919) -33-3055.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
have a substantial economic impact of at least five million
dollars (S 5. 000. 000 1 In a 12-month period.
CHAPTER 49 - AID TO FAMILIES WITH
DEPENDENT CHILDREN (AFDC)
SUBCHAPTER 49B - EMERGENCY ASSISTANCE
SECTION .0300 - ELIGIBILITY FACTORS
.0315 TWO-PARENT FAMILIES
(a) Assistance Units with r^so able-bodied parents shall be
eligible to recei\e cash assistance onK for months during which
the parents meet the federal uork participation requirement as
described in Section 407 of Public Law 104-193 which is herebs
adopted b\ reference under G.S. 150B-14(c).
(b) The parents shall NerilA as prescribed by the State, that
the% ha\e satisfied the federal work requirement, if the
assistance unit is otherwise eligible for a paNment. the pa\ment
shall be made uithin fi\e calendar da\ s of the date the county
receives the parentis verification.
(c) The amount of the cash assistance pa\ment shall be
calculated for the month as it is for ail other assistance units.
.Authorir\-G.S 108.4-25: SL 199'-443: P.L. 104-193.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
Notice is hereby given in accordance with G.S. 150B-2 1.2
that the Water Pollution Control System Operator
Certification Commission intends to adopt the rules cited as 15.4
\C.4C 8G .0101-.0102. .0201-.0205. .0301-.0308. .0401-.0409.
.0501:0505. .0601-.0604. .O'Ol. .0801-.0804. .0901-.0902.
. 1001-. 1002. and . 1101-. 1102 and repeal the rules cited as 15.4
NC.4C 8.4 .0101. .0202. .0301-.0303: 15.4 \'C.4C 8B .0101-
.0106. .0108-.0109. .0201-0205. .020~-.0214. .0301-.0304,
.0402. .0404-.0406. .0502-0506: 15.4 NC.4C 8C .0002. .0004-
.0008: and 15.4 \C.4C 8D .0002. .0004-. 0006. Notice of Rule-
making Proceedings was published in the Register on March 24.
199'.^
Proposed Effective Date: .4pril 1. 1999
A Public Hearing will be conducted at '':00 p.m. on July 30.
1998 at the .4rchdale Building. Groundfloor Hearing Room. 512
S. Salisbury Street. Raleigh. .\C: at -:00 p.m. on .4ugust 11.
1998 at the .4sheville-Buncombe Tech. Comm. College, Laurel
.4uditorium. 340 I'ictoria Road. .Asheville. NC: and at -:00 p.m.
on .4ugust 13. 1998 at the City Hall .4uditorium. 1 Hatteras
.4venue. Havelock. \'C.
Reason for Proposed Action: Multiple changes to the rules of
the Water Pollution Control Systems Operator Certification
Commission over the past se\'eral years ha\-e left the rules
someivhat unorganized. In addition, recent legislation allows
the Commission to require the completion of continuing
education for certification renewal. These issues, as well as
observations from the staff and Commission to make several
minor changes to the rules, licn'e prompted the proposed action.
Comment Procedures: Public comment Mill be accepted
during the comment period by Bo McMinn. Division of Water
Quality. WPCSOCC. PO Box 29535. Raleigh. \C 2-626-0535.
Fiscal Note: These Rules. 15.4 \C.4C 8G.0201. .0204. .0306.
.0402 and .O-Ql do affect the expenditures or revenues of local
and State funds.
Fiscal Note: Tftese Rules. 15.4 .\C.4C 8G .0101-.0102. .0202-
.0205. .0301 -.0308. .0401. .0405-.0409. .0501 -.0505. .0601-
.0604. .0801-.0804. .0901-.0902. .1001-.1002. .1 lOl-.l 102 do
not affect the expenditures or revenues of local or State funds.
Fiscal Note: These Rules do not have a substantial economic
impact of at least five million dollars lS5.000.000j in a 12-month
period.
CHAPTER 8 - WATER POLLUTION CONTROL
SYSTEM OPERATORS CERTIFICATION
COMMISSION
SUBCHAPTER 8A - AUTHORITY: ORGANIZATION:
STRUCTURE: DEFINITIONS AND HEARING
PROCEDURES
SECTION .0100 - DEFINITIONS AND
ORGANIZATION
.0101
DEFINITIONS
(a) "C e rtification Commi s sion" is th e Wat e r Pollution Control
S>stem Op e rators C e rtification Commission cr e at e d b> G.S
1 4 36 300.
(b) "Conditional Certificat e " is a p e rman e nt certificat e issu e d
b\ th e C e rtification Commission to an indi\ idual as th e r e sult of
passing an e xamination administ e r e d bv the Certification
Commission and which i s \alid onK for a sp e cifi e d tspe and
grad e of wat e r pollution control s>st e m. — It is subject to th e
provisions of G.S. 90y\ ' 10(a).
fe^ — "Contract Op e ration Firm" is ans comm e rcial Neat e r
204
NORTH CAROLINA REGISTER
July IS, 1998
13:2
PROPOSED RULES
pollution control system op e ration firm contracting with wat e r
pollution control syst e ms pur s uant to G.S. 90A '15(a).
(4) — "Op e rator in Responsibl e Charg e " is th e op e rator
designat e d to fulfill the r e quir e m e nts of G.S. OOA I 'l .
( o ) "Owner" is that p e rson, firm, or corporation d e scrib e d in
G.S. 90A 11.
(f) "P e rman e nt Certificat e " is that c e rtificat e of comp e t e nc e
and e xp e rienc e issu e d by th e C e rtification Commission to an
individual a s th e r e sult of pas s ing an e xamination administ e r e d
by the C e rtification Commission or issu e d by th e C e rtification
Commission by reciprocity. It is subj e ct to th e provi s ion s of
G.S. 90A 1Q(a).
(g) "Reciprocity C e rtificat e " is that c e rtification allow e d und e r
G.S. 90A 10(b).
(h) "T e mporary C e rtificate" is that c e rtificat e issu e d to an
individual by th e C e rtification Commission wh e n th e conditions
ofG.S. 90A ■4 0(e) are m e t.
(i) "Wat e r Pollution Control Syst e m" is any facility classifi e d
und e r th e provisions of G.S. 90A 37.
Authority G.S. 90A-37:
143B-300: 150B-2(4).
90A-38: 90A-40: 90A-44: 90.4-45:
SECTION .0200 - GENERAL PURPOSE: DUTIES
AND REQUIREMENTS: AND PROGRAMS
.0202 DUTIES AND REQUIREMENTS
(a) R e funding of F ee s. — Wh e n r e funding of f ee s b e com es
n e c e ssary, it will b e th e Commission's r e sponsibility or th e
r e sponsibility of th e ir d e sign ee to d e t e rmin e th e f ee s or portion
of f ee s to b e r e fund e d in accordanc e with 1 5 A NCAC 8 B .0502.
(b) R e quir e m e nts for C e rtifi e d Op e rators of Syst e ms
P e rmitt e d — Und e r — Rul e s — Adopt e d — by — (he — Environm e ntal
Manag e m e nt Commission .
{4^ Th e own e r must submit a letter to the Certification
Commission which either d e signat e s th e Operator in
R e sponsibl e Charge and is counter s ign e d by this
op e rator or th e Contract Op e ration Firm which ha s
b ee n engag e d to provide operational s e rvic e s and i s
count e rsigned by th e firm. If a Contract Op e ration
Firm has be e n engag e d, th e Contract Op e ration Firm
must submit a lett e r to th e C e rtification Commi ss ion
which d e signates th e Op e rator in R e sponsibl e Charg e
and is count e rsign e d by both th e own e r and th e
d e sign e d op e rator. — This (th e s e l e tt e r( s ) mu s t b e
submitted within 30 days aft e r:
(A) a n e w wat e r pollution control syst e m is 50
p e rc e nt compl e t e d .
(B) notification of cla s sification or chang e of
classification of an e xisting syst e m has b ee n
r e c e iv e d: or
(€4 a n e w op e rator in r es ponsibl e charg e — is
d e signat e d.
(3) Own e rs of faciliti e s, oth e r than s ingl e family syst e m s ,
ar e r e quir e d as of Octob e r 1. 1991 to provid e an
appropriat e ly train e d and certified back up op e rator of
th e appropriat e typ e and any grad e , to s e rv e a s
surrogate for th e ORC s e t forth in Paragraph (c)(5)(B)
and (C) of this Rul e when th e ORC is unavailabl e du e
to illn e s s or vacation, not to e xc ee d 60 day s if the
back up op e rator hold s a certificat e of a low e r grade
than th e classification of th e facility and 90 days if th e
back up op e rator holds a c e rtificat e of th e s ame grade
as th e cla ss ification of th e facility. If th e abs e nce of
th e ORC will exc e ed thi s tim e p e riod, a n e w ORC of
th e appropriat e typ e and grad e must bo designat e d for
th e syst e m. If th e abs e nc e of th e ORC is subject to
con s id e ration du e to th e Family L e av e Act. this p e riod
s hall bo extended to 120 day s but mu s t b e r e port e d to
th e Commission in writing. Th e own e r must s ubmit
a l e tt e r to th e C e rtification Commi ss ion which e ith e r
d e signat e s th e back up op e rator and is count e r s ign e d
by this op e rator or which d e signates th e Contract
Op e ration Firm which has b ee n e ngag e d to provid e
op e rational s e rvic e s and is count e rsign e d by th e firm.
If a Contract Op e ration Firm has b ee n e ngag e d, th e
Contract Op e ration Firm must submit a l e tt e r to th e
C e rtification — Commission which — d e signat e s th e
back up op e rator and is count e r s ign e d by both th e
own e r and th e d e signat e d op e rator. — This (th e s e )
l e tt e r(s) mu s t b e submitt e d within 30 days aft e r :
(A) th e s yst e m is classifi e d; or
fB) a n e w back up op e rator is d e signated .
(3^ Th e ov ^ Tl e r must inform th e C e rtification Commission
in writing wh e n:
(A) an — individual — form e rly d e signat e d as th e
Op e rator in R e sponsibl e Charg e or th e back up
op e rator is no long e r s e rving as th e ORC or th e
back up op e rator: or
(B) a Contract Op e ration Firm form e rly d e signat e d
te — be — r e sponsibl e — fef — op e ration — and
maint e nanc e is no long e r providing th e ORC or
th e back up op e rator.
(4) A Contract Op e ration Firm i s r e quir e d to inform th e
C e rtification Commi s sion in writing within 30 days
wh e n :
(tA) an individual — form e rly d e signat e d a s th e
Op e rator in R e sponsibl e Charg e or th e back up
op e rator is no long e r se rving as th e ORC or th e
back up op e rator; or
(B) a Contract Op e ration Firm form e rly d e signat e d
(e — be — r e sponsibl e — for th e — op e ration — and
maint e nanc e is no long e r providing th e ORC or
th e back up op e rator. This l e tt e r shall indicat e
the dat e of th e chang e in th e status of th e
Op e rator in R e sponsibl e Charg e or back up
op e rator th e Contract Op e ration Firm and th e
nam e of th e n e w d e sign ee.
(^ In ord e r to qualify' as th e Op e rator in Responsibl e
Charg e of a particular, wat e r pollution control syst e m.
an op e rator:
(A) must poss e ss on e . or mor e of the c e rtificat e s
list e d in S e ction .0200 of thi s Subchapt e r, of
th e typ e (s) and grad e ( s ) at lea s t equival e nt to
th e typ e s and cla ss ification(s) of th e s y s t e m;
(B) must, if th e d es ignated ORC of a wast e wat e r
\13:2
NORTH CAROLINA REGISTER
July 15, 1998
205
PROPOSED RULES
{€)
tr e atm e nt facility, b e r e spon s ibl e for. and a s of
Octob e r 1 . — 1991. mu s t visit e ach cla ss I
wast e wat e r — tr e atm e nt — facilitv' — aftd — s pray
irrigation facility at l e a s t weekly, and e ach
class 11. cla s s III and cla ss IV wa s t e wat e r
tr e atm e nt facility' at l e ast fiv e days p e r w ee k,
e xcluding holidays, with th e e xc e ption of
singl e family — s yst e ms. — i nclud i ng — A e robic
Tr e atm e nt Units (ATU' s ) with a flow of up to
1 .500 gallon s p e r day of dom es tic wast e wat e r,
which shall b e vi s it e d w ee kly and oth e r
cla ss ifi e d singl e family s yst e ms which shall b e
vi s it e d a minimum of annually; and shall
docum e nt visits to th e facility; and
{Q^ mu s t prop e rly manag e and docum e nt daily
op e ration and maint e nanc e , c e rtify' monitoring
and r e porting information a s pr e scrib e d in th e
p e rmit, and r e sid e within r e asonabl e proximity
of th e — syst e m, to b e r e adily availabl e for
con s ultation, e m e rg e nci e s, r e gulator)' ag e ncy
insp e ction and similar matt e rs; and
(&) may b e an e mploy e e of a Contract Op e ration
Firm s o long as this e mploy ee m ee ts all
r e quir e m e nts in Paragraphs (c)(5)(A). (B) and
(Oof this Rul e .
R e quir e ments for C e rtifi e d Op e rator s of Syst e m s
P e rmitt e d Und e r Rul e s Adopt e d by th e Commission for H e alth
S e rvic e s or a local board of h e alth .
fH Th e own e r shall s ubmit a l e tt e r to th e local h e alth
d e partm e nt s e rving th e county in which th e s yst e m is
locat e d which e ith e r d e signat e s th e Operator in
R e sponsibl e Charg e and is count e rsign e d by this
op e rator, or d es ignat es a Contract Op e ration Firm or
Public Manag e m e nt Entit>'. which has b ee n e ngag e d
to provid e op e rational s e rvic es . If a Contract
Op e ration Firm or Public Manag e m e nt Entitv' has
b ee n e ngag e d, th e Contract Op e ration Firm or Public
Manag e ment Entity mu s t s ubmit a l e tt e r to th e local
h e alth d e partm e nt which d e signat e s th e Op e rator in
R e sponsibl e Charg e and is count e rsign e d by both th e
own e r and th e designated op e rator. — This (th e s e )
letter(G) must b e r e c e iv e d prior to th e issuanc e of th e
op e ration p e rmit or within 30 days of:
{A) notification of classification or chang e of
classification of an e xi s ting syst e m ha s b ee n
r e c e iv e d; or
f&) a n e w op e rator is d e signat e d .
(3) Own e rs ar e r e quir e d to provide an appropriat e ly
train e d — afid — c e rtifi e d — back up — op e rator — of th e
appropriat e tv'p e and any grad e for any classifi e d
wastewat e r tr e atm e nt plant, with th e e xc e ption of
A e robic Tr e atm e nt Units, to s e rv e as surrogat e for the
ORC a s s e t forth in Paragraph (d)(5)(B) and (C) of
thi s Rul e wh e n th e ORC is unavailabl e du e to illn e ss
or vacation, not to exceed 60 day s if th e back up
op e rator holds a c e rtificat e of a low e r grad e than th e
classification of th e facility' and 90 days if th e back up
op e rator hold s a c e rtificat e of th e sam e grad e as the
cla ss ification of th e facility. — If the abs e nc e of the
ORC will exc ee d thi s tim e p e riod, a new ORC of the
appropriate typ e and grad e must b e designat e d for the
system. — If th e abs e nc e of th e ORC is subj e ct to
consideration du e to th e Family Leave Act, this p e riod
s hall b e e xt e nd e d to 120 days but must b e r e port e d to
th e Commis s ion in writing. Th e owner must submit
a l e tt e r to th e local h e alth d e partment which e ith e r
d e signat e s th e back up op e rator and is count e rsign e d
by this op e rator or which designat e s th e Contract
Op e ration Firm or Public Manag e m e nt Entity which
has b ee n e ngag e d to provide op e rational s e rvices and
is count e rsigned by th e firm.
(^ Own e rs ar e r e quir e d to inform th e local h e alth
d e partm e nt in writing wh e n:
(A) an individual form e rly d e signated as th e ORC
or th e back up operator (if r e quir e d) is no
long e r s e rving a s th e ORC or th e back up
op e rator; or
(B) a — Contract — Op e ration — F4fm — or — Public
Manag e m e nt Entity, formerly designat e d to b e
r e spon s ible for op e ration and maint e nanc e is
no long e r providing th e ORC or th e back up
op e rator.
(4) A Contract Op e ration Firm or Public Manag e m e nt
Entity' must notify' th e local h e alth d e partm e nt in
writing within 30 days wh e n:
(tV) an individual form e rly d e signat e d as th e ORC
or back up op e rator (if r e quir e d) is no long e r
p e rforming th e s e duti e s; or
(B) a — Contract — Op e ration — F4Fffl — ef — Public
Manag e m e nt Entity form e rly d e signat e d to b e
r e sponsibl e for op e ration and maint e nanc e is
no long e r providing th e ORC or th e back up
op e rator. Thi s l e tt e r s hall indicat e th e dat e of
th e chang e in statu s of th e ORC or th e back up
op e rator (if r e quir e d) or th e Contract Op e ration
Firm or Public Manag e ment Entitv and th e
nam e — of th e — new — d e sign e e — er — Contract
Op e ration Firm or Public Manag e m e nt e ntit>',
countersigned by th e n e w ORC or back up
op e rator (if r e quir e d).
f5) In ord e r to qualify' as Op e rator in R es ponsible Charg e
of a particular syst e m an op e rator:
(A) mu s t po s s e s s on e , or mor e of th e c e rtificat e s
list e d in S e ction .0200 of this Subchapt e r, of
th e typ e (s) and grad e ( s ) at l e ast e quivalent to
the t>'p e (s) and clasGification( s ) of th e s y s t e m.
(&) must bo responsibl e for and must vi s it e ach
syst e m as sp e cifi e d in 15A NCAC 1 8 A .1961
Th e ORC mu s t prop e rly manag e and docum e nt
op e ration and maint e nanc e ; certify' monitoring
and r e porting information as pr e scrib e d in th i
p e rmit and r e sid e within r e asonable proximity
of the syst e m to b e r e adily availabl e foi
^
consultation, e merg e nci e s, r e gulatory ag e nc>
insp e ctions and s imilar matt e rs; and
mu s t, if th e d e signated ORC of a wastcwat e il
;
206
NORTH CAROLINA REGISTER
H
Juh- 15, 1998
13
PROPOSED RULES
treatm e nt facilih' that is classifi e d as a Clas s II,
Class III or Clas s IV vvastowator tr e atm e nt
facilit>'. must visit each Class II. Class 111 and
Class IV facility' at l e ast fiv e day s per week,
e xcluding holidays. A e robic Tr e atm e nt Units
(ATU's) that ar e u s ed as pr e tr e atm e nt for
subsurfac e disposal of dom e stic wast e wat e r
with a design flow of up to 1,500 gallons p e r
day s hall b e visit e d by th e ORC on a monthly
basis. — Th e ORC shall docum e nt th e visits c e rtification as a wat e r pollution control syst e m op e rator by way
SUBCHAPTER 8B - CERTIFICATION OF
OPERATORS
SECTION .0100 - APPLICATION FOR EXAMINATION
AND CERTIFICATION: AND NOTIFICATION
OF CHANGE IN ADDRESS
.0101 APPLICATION FORM
(a) An application which i s d e sign e d for r e qu e sting
mad e to e ach facility.
Authority G.S. 90A-3 7 through 90A-43; 143B-300.
SECTION .0300 - HEARING PROCEDURES
.0301 RULE MAKING PROCEDURES
The Wat e r Pollution Control System Op e rators C e rtification
Commission incorporat e s by reference 15A NCAC IB .0100 for
the purpos e of its rul e making proc e dur e s.
Authority G.S. 143B-300.
.0302 CONTESTED CASE PROCEDURES
(a) Admini s trativ e h e arings shall b e h e ld in accordanc e with
of e xamination, t e mporary certification, reciprocity c e rtification,
conditional — c e rtification, — ef — conv e rsion — frem — voluntary
c e rtification must b e prop e rly and accurat e ly compl e t e d and
submitt e d with th e appropriat e f ee to th e offic e of th e chairman
of th e C e rtification Commission.
(b) Incompl e t e application s and applications not accompani e d
by appropriat e f ee and attachm e nts cannot b e proc esse d and will
b e r e turn e d to th e applicant.
Authority G.S. 90A-39: 90A-42: 143B-300.
.0102 APPLYING FOR EXAMINATION
(a) An application being fil e d for e xamination shall b e
po s tmark e d by th e Unit e d States Postal Ser\'ic e at l e ast 30 days
prior to th e dat e upon which the examination is sch e dul e d to b e
G.S. 150B. and th e administrativ e h e aring proc e dur e s codifi e d administ e r e d and th e appropriat e f ee must accompany th e
at 15A NCAC IB .0200 e t seq.. ar e h e r e by incorporat e d by application .
r e f e r e nc e including any subs e qu e nt am e ndm e nts and additions
fb) Upon r e c e ipt of th e application by the Commission, th e
(b) Copi es of 15A NCAC 1 B .0200 may b e insp e ct e d at th e application will b e r e vi e wed by the designoe(s) of th e
offic e s of th e Division of Planning and Ass e ssm e nt. 512 North Commission for e ligibility to tak e the examination. — The
Sali s bury Str ee t. 8 th Floor. Archdal e Building. Ral e igh. North applicant will b e notifi e d by l e tt e r of th e ir e ligibility and will b e
Carolina — 2761 1. — Copi e s may b e obtain e d at th e pr e vious advis e d of th e dat e , tim e and plac e of th e e xamination. A receipt
location or from the Rules Division of th e N.C. Offic e of for th e e xamination f ee will accompany th e l e tt e r. — In cas e s
Admini s trativ e H e aring s at a co s t s e t by thos e offic e s.
Authority G.S 143B-300: 150B-2(4).
.0303
(a)
am e ndm e nt, or r e p e al of a rul e may mak e s uch r e qu es t in a
PETITIONS FOR REGULATORY ACTIVITY
Any p e r s on( s ) d e siring to r e qu e st th e adoption.
wh e r e th e applicant is in e ligibl e for e xamination, th e applicant
will also b e notifi e d by l e tt e r and advis e d th e r e a s on for
in e ligibility. Th e e xamination f ee will b e r e funded in the event
that th e applicant is d e t e rmin e d to b e in e ligibl e for th e
examination. Upon l e arning of in e ligibility, th e applicant may
r e qu e st a h e aring b e for e th e c e rtification Commission at th e n e xt
r e gularly scheduled m ee ting, r e lativ e to th e in e ligibility, if th e
p e tition fil e d pur s uant to G.S. 150B 20, addr e ss e d to th e Wat e r applicant so d e sir e s. Such r e qu e sts must b e in writing and shall
Pollution Control Syst e m Op e rator s C e rtification Commission b e s ubmitt e d at l e a s t 30 days prior to th e n e xt r e gularly
and mailed to the Chairman, at P.O. Box 29535. Ral e igh. North
■)i f, -i
s ch e dul e d meeting. Any applicant who int e ntionally suppli e s
Carolina. 27626 0535. Such p e tition s shall contain th e fal se information on th e application for c e rtification for th e
following information:
(44 A draft of th e propo se d rul e or a summary of its int e nt.
(3) R e a s on s for adoption of th e propos e d rul e ( s ) and
e ffect on e xisting rul e s and practic e s.
(5) Nam e and addr es s of th e p e tition e r(s).
fb) P e titions will b e plac e d on th e ag e nda of th e n e xt
r e gularly sch e dul e d meeting of th e Commis s ion if r e c e iv e d at
purpo se of gaining e ligibility, will b e in e ligibl e for th e
e xamination and will forf e it th e e xamination f ee . Applicants
who hav e int e ntionally s uppli e d fals e information and who hav e
b ee n d e t e rmin e d to b e ineligible who wish to r e apply for
c e rtification s hall follow th e proc e dur e set forth in 1 5 A NCAC
8 D .0006.
l e ast four w ee ks prior to the m e eting. Th e Chairman will Authority G.S. 90A-39: 90A-42; 143B-300: 150B-23.
pr e pare — r e comm e nd e d — r e spon s es — te — p e tition s — for — the
Commission's consid e ration. — P e titions will b e consid e r e d in
accordanc e with th e r e quir e m e nts of G.S. 150B 20.
Authority G.S. 113-134: 143B-289A: 150B-20.
.0103 APPLYING FOR TEMPORARY
CERTIFICATION
An application must b e fil e d with appropriat e fee and r e quir e d
l e tt e r or stat e m e nt from th e own e r of th e facility.
\13:2
NORTH CAROLINA REGISTER
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207
PROPOSED RULES
Authority G.S. 90A-39; 90A-42: 143B-300.
.0104 APPLYING FOR TEMPORARY
CERTIFICATION RENEWAL
regulation s r e lat e d to wa s t e wat e r tr e atm e nt plant op e ration and
knowledge of equipment usually e mploy e d in such plants, and
be able to d e scribe the general maint e nance r e quirem e nts for
such plant units. — Th e applicant mu s t submit an application
An application r e qu e sting r e n e wal of t e mporary c e rtification showing that one of the following prer e qui s it e combinations of
training and experience has been met in ord e r to tak e th e grad e
1 e xamination:
must b e filed 60 days prior to th e e xpiration dat e of th e original
t e mporary c e rtification. Th e appropriate fe e and requir e d l e tt e r
or stat e ment from th e own e r of th e facility must accompany th e
application.
Authority- G.S. 90A-39: 90.4-42: I43B-300.
.0105 APPLYING FOR CERTIFICATION BY
RECIPROCITY
An application r e qu e sting c e rtification by r e ciprocity mu s t b e year oi acc e ptt
fil e d with th e appropriat e f ee and a copy of th e c e rtificat e of plant op e ration
f4-) thr ee y e ars of acceptable e xp e ri e nc e in wast e wat e r
tr e atm e nt plant operation ;
(3) compl e tion of e ighth grad e of s chool and two y e ars of
acc e ptabl e e xp e ri e nc e in wast e wat e r tr e atm e nt plant
op e ration;
{¥) satisfactory compl e tion of a Grad e 1 approv e d training
school for wast e wat e r tr e atm e nt plant op e rators and on e
year of acc e ptable e xp e ri e nc e in wastewater treatment
r e gi s tration issued by th e Association of Board s of C e rtification
Authority G.S. 90A-39; 90A-40(b); 90A-42.
.0106 APPLYING FOR CONDITIONAL
CERTIFICATION
(4) graduat e of a high s chool, or e quival e nt GED. and thre e
months of acc e ptabl e e xp e ri e nc e in wast e wat e r tr e atm e nt
plant op e ration;
{%) graduat e of a high school or e quival e nt GED or a two or
four y e ar coll e g e and s ucc ess ful completion of approved
training school.
An application r e questing a conditional c e rtificat e must b e fil e d Provid e d, how e v e r, that if an applicant fail s th e Grad e I
with th e appropriat e f ee and l e tt e r or stat e m e nt r e quir e d of th e
owner of the facility.
Authority G.S 90A-39: 90A-42(4): 143B-300.
.0108 ADDRESS FOR REQUESTING AND
RETURNING APPLICATIONS
Applications ar e obtainabl e from and shall b e r e turn e d to:
Chairman. — Wat e r — Pollution — Control — Sy s t e m — Op e rators (a) An applicant for a grade 11 certificat e shall b e e xp e ct e d to
C e rtification Commission, D e partm e nt of Environm e nt, H e alth, have a g e neral loiowl e dg e of th e various typ e s of wast e wat e r
and Natural R es ourc e s, P.O. Box 29535, Ral e igh, North
Carolina 27626 0535.
e xamination aft e r thr ee att e mpts, th e applicant must th e n
satisfactorily compl e t e a Grade 1 approv e d training school b e for e
taking th e Grad e 1 e xamination again.
Authority G.S. 90A-39: 1438-300.
.0202 GRADE II WASTEWATER TREATMENT
PLANT OPERATOR
tr e atm e nt plants and th e proc e ss e s — involv e d; — a g e n e ral
knowl e dg e of th e compo s ition of wast e wat e r and th e prop e r
sampling th e r e of; a g e n e ral Icnowl e dge of the proc e dur e involv e d
in making basic physical and ch e mical t e sts and their application
to tr e atm e nt plant control and Icnowl e dg e of the laws and
regulations r e lat e d to wast e wat e r tr e atm e nt plant op e ration; th e
_ ability to make simpl e calculations; general knowl e dg e of th e
Hold e rs of c e rtificat e s und e r this program s hall notify' th e prop e r maint e nanc e of the various tr e atm e nt plant units and th e
Chairman. — Wat e r — Pollution — Control — Sy s t e m — Op e rators m e chanical e quipm e nt involved; th e ability to k e ep and interpr e t
Authority G.S 90A-39: 90.4-42: 143B-300.
.0109 REQUIREMENT FOR NOTIFICATION OF
CHANGE IN ADDRESS
Certification Commission. D e partm e nt of Environm e nt. H e alth,
and Natural Resourc e s. P.O. Box 29535. Ral e igh. North
Carolina 27626 0535. in writing, within 30 days of any chang e
in addr e s s .
Authority^ G.S 90A-35: 90.4-43: I43B-300.
SECTION .0200 - EDUCATION AND EXPERIENCE
FOR CERTIFIED WATER POLLUTION
CONTROL SYSTEM OPERATORS
.0201 GRADE I WASTEWATER TREATMENT
PLANT OPERATOR
An applicant for a grad e 1 c e rtificat e (low e st) shall bo expect e d
to hav e a g e n e ral knowl e dg e of th e op e ration of s mall treatment
plants. — Th e applicant shall hav e loiowl e dg e of th e laws and
r e cords; the ability to practic e saf e ty and maintain good public
r e lations; and such oth e r information a s may b e d ee m e d
p e rtin e nt by th e Wat e r Pollution Control System Op e rators
Certification Commis s ion.
(b) The applicant must s ubmit an application showing that
on e of the following pr e r e quisit e combinations of training and
e xp e ri e nc e ha s b e en m e t in ord e r to take th e grad e II
examination:
(4) satisfactory completion of a Grad e II approv e d
training — s chool — for wastewat e r tr e atm e nt — piant
operators and two y e ars of acc e ptabl e experienc e in a
North Carolina class I. or equival e nt, wastewat e r
tr e atm e nt plant or high e r;
(3) a North Carolina grad e 1 c e rtificat e with all requir e d
r e n e wal fees paid, or e quivalent, and one year of
acc e ptabl e op e rator e xp e ri e nc e in a North Carolina
208
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
class 1. or equival e nt, wast e wat e r tr e atm e nt plant or
high e r;
(5) graduat e of high s chool, or e quival e nt GED, and six
months of acc e ptabl e e xp e ri e nc e in a North Carolina
class 1. or e quival e nt, wast e wat e r tr e atment plant or
higher;
(4) graduat e of a r e cogniz e d two y e ar coll e g e or t e chnical
school or coll e g e or univ e rsity' and s ix month s of
acc e ptabl e — e xp e ri e nc e — m — wa s t e wat e r — treatment
operation.
Provided, how e v e r, that if an applicant fails th e Grad e II
examination aft e r thr ee att e mpts, th e applicant must th e n
satisfactorily complete a Grad e II approv e d training school
b e for e taking th e Grade II e xamination again.
(^ two year s of coll e g e or associat e d e gr e e with
acad e mic pr e paration in ch e mistry, biology, public
h e alth, or r e lat e d fi e lds, and two y e ars of acceptabl e
e xperienc e in a North Carolina class II, or e quivalent,
wast e wat e r tr e atm e nt plant or high e r;
f4) graduat e of a r e cogniz e d two year colleg e or t e chnical
s chool, with an associat e d e gr ee in environmental
science s , and 1 8 months of acc e ptabl e e xp e ri e nce in
a North Carolina cla s s II, or e quival e nt, wast e wat e r
tr e atm e nt plant or higher;
{#) graduat e of a r e cogniz e d coll e ge or univ e r s ity with a
major in natural or physical scienc e s, e ngin e ering or
r e lat e d fi e ld, and on e y e ar of acc e ptabl e exp e rience in
a North Carolina class II or e quival e nt wastewater
tr e atm e nt plant or high e r.
Provided, however, that if an applicant fails th e Grad e III
examination after thre e att e mpt s , th e applicant must th e n
s ati s factorily compl e t e a Grad e 111 approv e d training school
b e for e taking the Grad e III e xamination again.
Authority G.S. 90A-39: 143B-300.
.0203 GRADE III WASTEWATER TREATMENT
PLANT OPERATOR
(a) An applicant for a grad e III certificat e shall be e xp e cted
to b e mor e knowl e dg e abl e , and to hav e th e ability to answer Authority G.S. 90A-39: 143B-300.
mor e highly s p e cializ e d qu es tions relativ e to wastewater
tr e atm e nt and plant operation than an applicant for a grad e II .0204
c e rtificat e . — In addition to th e requir e ments mention e d for a
grad e II c e rtificat e , a candidate for a grade III certificat e should (a) An applicant for a grade IV c e rtificat e (high es t) s hall b e
hav e a gr e at e r knowledge of the physical, ch e mical and expect e d to hav e more specific loiowl e dg e cov e ring th e e ntir e
bact e riological t e st s ordinarily perform e d in an ad e quately fi e ld of wa s t e wat e r tr e atm e nt than th e applicant for a grad e III
e quipp e d laboratory for th e d e t e rmination of the nature, typo and c e rtificat e . Th e applicant s hould hav e mor e advanc e knowl e dg e
concentration of variou s wa s t e wat e r s . Th e applicant should b e
able to p e rform mor e advanc e d calculations including v e locity
GRADE IV WASTEWATER TREATMENT
PLANT OPERATOR
of th e d e sign and con s truction of wast e wat e r tr e atm e nt faciliti e s
as w e ll as mor e advanc e d loiowl e dg e of th e ch e mi s try and
of flow and pr e s s ur es in pip e s, e tc.. and should hav e a d e tail e d biology involv e d in th e variou s proc e ss e s of wast e wat e r
Icnowl e dg e of th e principl es of tr e atm e nt plant op e ration. tr e atm e nt. — Th e applicant should b e familiar with various
e ffici e nci es , corrosion and it s pr e v e ntion, and th e prop e r industrial wast e s and know how to m e asur e flow, sampl e and
maint e nanc e of all it e ms of e quipm e nt in a wast e wat e r tr e atm e nt run th e common physical, ch e mical and bact e riological t e sts
plant. Th e applicant s hould b e familiar with various typ e s of n e c e ssary' to provid e th e prop e r pr e treatment or tr e atm e nt
pumps commonly us e d in wast e wat e r tr e atm e nt plants and th e ir th e r e of Th e applicant should hav e a good Icnowl e dg e of th e
advantag es and di s advantag e s, and b e abl e to calculat e pump proper op e ration and maint e nanc e of the various units in a
e fficiencies. Th e applicant should Icnow of th e probl e ms cr e at e d modem wastewater treatment plant including pumps, motors,
by industrial wa s t e s and th e ir e ff e ct on th e s e w e rs, tr e atm e nt and el e ctrical equipm e nt. Th e applicant s hould b e familiar with
plant, and r e c e iving str e am. Th e applicant should b e abl e to n e w d e v e lopm e nt s in th e fi e ld of wast e wat e r treatm e nt and
measure, by various m e ans, th e flow of wastewat e rs, to prop e rly s hould hav e a good Icnowl e dg e of th e laws and r e gulation s
mak e compo s it e s ampl e s, and to run th e n e cessary' physical. relating to s tr e am sanitation. Th e applicant s hould b e abl e to
chemical and bact e riological t e sts nec e ssary to provid e th e d e v e lop n e c e s s ary r e cords and pr e par e r e quir e d r e ports, e tc. Th e
r e quired d e gr ee of tr e atm e nt prior to di s charg e into the r e ceiving
water.
{b) Th e applicant must submit an application s howing that th e program s , e tc.
applicant should b e abl e to prop e rly sup e rvi se oth e r e mploy ee s
and plac e into practic e good public r e lations and saf e ty
applicant poss e ss e s an activ e North Carolina grad e 11 c e rtificat e
(fe) Th e applicant must submit an application showing that th e
or an activ e c e rtificat e at th e high e st grad e in any oth e r s tat e and applicant poss e ss e s an activ e North Carolina grad e III c e rtificat e
that on e of th e following pr e r e quisit e combination s of training or an activ e c e rtificat e at th e high e st grad e in any oth e r s tat e and
and experi e nc e has b ee n m e t in order to tak e th e grad e III
e xamination:
fH four years of acc e ptable exp e rience in a North
Carolina class 11. or e quivalent, wastewat e r tr e atm e nt
plant or high e r;
(2) graduate of high s chool, or e quivalent GED, and thr ee
y e ars of acceptabl e e xp e ri e nc e in a North Carolina
class II, or equival e nt, wast e wat e r treatment plant or
high e r;
that on e of th e following pr e r e quisit e combination s of training
and e xp e ri e nc e has b ee n m e t in ord e r to take the grad e IV
e xamination:
{+) fiv e y e ars of acc e ptabl e e xp e ri e nc e in a North
Carolina class 111. or e quival e nt, wastewater tr e atm e nt
plant or high e r;
(3^ graduat e of high school, or e quivalent GED. and four
y e ar s of acc e ptabl e e xp e ri e nc e in a North Carolina
clas s III, or e quival e nt wastewater treatm e nt plant or
13:2
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209
PROPOSED RULES
^
high e r;
two y e ars of college or associat e d e gr ee with
c e rtificat e for six months and must submit an application
showing that th e following pr e r e quisit e combinations of training
acad e mic preparation in ch e mistry', bacteriology. and e xp e ri e nc e hav e b e en met in ord e r to tak e th e Grade II
public h e alth, or r e lat e d fi e lds and thr e e y e ars of
acc e ptabl e e xperience in a North Carolina class 111. or
e quival e nt, wast e water treatm e nt plant or high e r;
(4) graduat e of a r e cognized two y e ar coll e ge or technical
s chool, with an a ss ociate d e gr ee in e nvironm e ntal
s ci e nc es , and 30 months of acceptabl e e xperienc e in
a North Carolina class III. or equival e nt, wast e wat e r
tr e atm e nt plant or high e r;
(^ graduat e of a r e cogniz e d coll e g e or university with a
major in natural or physical s ci e nc e s, e ngin ee ring, or
r e lat e d fi e ld, and two y e ars of acc e ptabl e e xp e ri e nc e
tfl — a — North — Carolina — elass — IH^ — or — e quival e nt,
wa s t e wat e r treatment plant or high e r.
coll e ction Syst e ms e xamination:
f!-) Provid e documentation from th e applicants supervi s or
that th e following ta s ks have been compl e t e d prior to
th e training school:
(A) mak e a s e wer tap with a machin e ;
f&) install a s e w e r cl e anout;
(€) d e monstrat e ability to prop e rly op e rat e sewer
maint e nanc e e quipm e nt.
(3^ Hav e two y e ars — of acc e ptabl e e xp e ri e nce and
succ es sful compl e tion of an approv e d training s chool
for Grad e II Coll e ction Systems.
Provid e d, how e v e r, that if an applicant fails th e Grad e II
Coll e ction Systems e xamination aft e r thr ee att e mpts, th e
Provid e d, how e v e r, that if an applicant fail s th e Grade IV applicant must then satisfactorily compl e t e a Grad e II Collection
Syst e m s approv e d training s chool b e for e taking th e Grade II
Coll e ction Syst e ms e xamination again.
Authority G.S. 90A-39: 143B-300.
.0208 GRADE III COLLECTION SYSTEM
OPERATOR
(a) ;\n applicant for a grad e III coll e ction syst e ms c e rtificat e
fft) An applicant for a grad e I coll e ction syst e m c e rtificat e shall b e e xp e ct e d to e nsur e saf e ty, and p e rform and sup e rvis e
(low e st) s hall hav e a basic knowl e dg e of th e purpos e and installation and maint e nance of a coll e ction system whil e
op e ration of a coll e ction syst e m and s hall b e abl e to p e rform maintaining records and public r e lations,
basic tasks in a mann e r that do e s not e ndang e r hims e lf li e r se lf or
oth e rs.
e xamination aft e r thr ee att e mpts, th e applicant mu s t th e n
satisfactorily compl e te a Grad e IV approv e d training school
b e for e taking th e Grade IV examination again.
Authorit}- G.S. 90.4-39: 143B-300.
.0205 GRADE 1 COLLECTION SYSTEM
OPERATOR
fb) Applicant mu s t hold a curr e nt Grad e II coll e ction Syst e m
c e rtificat e for six months and must submit an application
(fe) Th e applicant must submit an application s howing that showing that th e following prer e quisite combinations of training
on e of th e following pr e r e quisit e combinations of training and
e xp e ri e nc e has b ee n m e t in ord e r to tak e th e Grad e I Coll e ction
Syst e ms e xamination:
f+4 two y e ar s of acc e ptabl e e xp e ri e nc e and s ucc e ssful
compl e tion of an approv e d training school for Grad e
I Coll e ction Syst e ms;
(34 compl e tion of th e e ighth grad e and on e y e ar of
acc e ptabl e e xp e ri e nc e and succ e ssful compl e tion of
an approv e d training school for Grade I Coll e ction
Sy s t e ms;
(^ graduat e of high s chool or e quival e nt GED and
s ucc es sful compl e tion of an approved training school
for Grad e I Collection Syst e m s .
Provid e d, how e v e r that if an applicant fails th e Grad e I
Coll e ction Sy s t e ms e xamination aft e r thr ee att e mpts, th e
and e xp e ri e nc e have been met:
f44 Hold a curr e nt CPR c e rtification.
(3) Hav e thr ee y e ars of acc e ptabl e e xp e ri e nc e and
succ e ssful compl e tion of an approv e d training school
for Grad e III Coll e ction Syst e ms.
Provided, howev e r, that if an applicant fails th e Grad e III
Coll e ction Sy s t e m s e xamination aft e r thr e e att e mpts, th e
applicant mu s t th e n — s atisfactorily compl e t e a Grade III
Collection Systems approv e d training school b e fore taking th e
Grad e III Coll e ction Syst e ms examination again.
Authority^ G.S. 90A-39: I43B-300.
.0209 GRADE IV COLLECTION SYSTEM
OPERATOR
applicant must th e n satisfactorily compl e te a Grad e I Coll e ction (a) An applicant for grad e IV coll e ction s yst e m s c e rtificat e
Sy s t e m s approv e d training school b e for e taking th e Grad e I
Coll e ction Systems examination again.
Authorit\' G.S. 90.4-39: 1433-300.
.0207 GRADE II COLLECTION SYSTEM
OPERATOR
fa) An applicant for a grad e II coll e ction syst e ms c e rtificat e
shall b e expected to install, maintain and r e pair various
components of a coll e ction s>st e m in a saf e mann e r.
(b) Applicant must hold a curr e nt Grade I Coll e ction System
s hall b e e xp e ct e d to sup e r\'is e employ ees and manage the ov e rall
in s tallation, op e ration and maint e nanc e of coll e ction sy s tems in
a saf e mann e r.
fb) Applicant must hold a curr e nt Grad e 111 Coll e ction Syst e m
certificat e for six months and must submit an application
s howing that th e following prer e quisit e combinations of training
and e xp e ri e nc e have b e en met:
(4-) Hold a curr e nt CPR c e rtification.
(3) Compl e tion of two hour s of approv e d confined spac es
training.
(4) Have — four y e ar s of acceptable e xperience and
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NORTH CAROLINA REGISTER
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PROPOSED RULES
succ e ssfiil completion of an approv e d training s chool
for Grade IV Coll o ction Syotems.
Provid e d, how e v e r that if an applicant fails th e Grad e IV
Colloction Syst e ms examination aft e r thr ee att e mpt s , th e
applicant must then satisfactorily compl e t e a Grade IV
Coll e ction Systems approv e d training school befor e taking th e
Grade IV Coll e ction Systems e xamination again .
Authority G.S. 90A-39; J43B-300.
.0210 SUBSURFACE SYSTEM OPERATOR
(a) An applicant for a Subsurfac e Syst e m Op e rator c e rtificat e
shall b e expected to hav e sp e cific Icnovvl e dge regarding the
subsurface tr e atm e nt and disposal of wast e water. The applicant .0211
shall hav e Icnovvl e dg e of th e principals of th e soil as a tr e atm e nt
of an approv e d subsurfac e training school; or
{6} b e a privat e hom e own e r who intends to op e rat e only
their — own — dom e stic. — on sit e — syst e m — who — has
succ e ssfully — compl e t e d — an — approv e d — subsurfac e
training school.
Provid e d, how e v e r that if an applicant fails the Subsurfac e
Sy s t e ms e xamination aft e r thr ee att e mpts, th e applicant must
th e n satisfactorily complet e a Sub s urfac e Syst e ms approv e d
training — school — b e for e — taking — the — Sub s urface — Syst e ms
e xamination again.
Authoht\' G.S. 90A-39; 143B-300.
LAND APPLICATION/RESIDUALS
OPERATOR
system and th e d e sign and construction of subsurface tr e atm e nt (e) An applicant for a Land Application/R es iduals Op e rator
and disposal syst e ms. — The applicant shall b e familiar with c e rtificat e shall b e e xp e ct e d to hav e sp e cific loiowledgo
wast e wat e r characteristics and th e prop e r op e ration and r e garding tr e atm e nt and utilization of r e siduals and biosolids.
maint e nance of a septic tank, pump tank, sand filt e r, gr e as e Th e applicant shall hav e Icnowl e dg e of th e principals of th e soil
trap/gr e as e — interc e ptor, — oil/wat e r — s e parator, — conv e ntional as a tr e atm e nt syst e m and th e prop e r op e ration of land
ubsurfac e syst e m, low pr e ssur e pip e syst e m, and oth e r application syst e ms. Th e applicant shall b e familiar with th e
alt e rnative subsurfac e syst e ms, including thos e consisting of charact e ristics of r e siduals and biosolids and th e prop e r
multipl e drain fi e lds. Th e applicant shall also b e familiar with op e ration and maint e nanc e of th e e quipm e nt us e d in th e land
various pumps, distribution m e chanisms and e l e ctronic controls application proc e ss. Th e applicant shall also b e familiar with th e
commonly us e d in th e s e syst e ms; and s hall hav e th e ability to laws and r e gulation s gov e rning th e s e syst e ms and shall hav e th e
mak e calculations and m e asur e wast e wat e r flow rat e s in th e s e abilit>' to malc e appropriat e calculations. Th e applicant shall also
syst e ms by various m e ans. Th e applicant shall also b e familiar
with th e laws and rul e s gov e rning th e s e s y s t e m s and s hall hav e
hav e th e abilit\' to k ee p and int e rpr e t r e cords and to compl e t e
r e ports as r e quir e d by th e p e rmit.
the abilit>' to k ee p and int e rpr e t r e cords and to compl e t e r e ports (te) Th e applicant shall submit an application showing that
as r e quir e d by th e p e rmit. on e of th e following pr e r e quisite combinations of training and
(fe) Th e applicant shall submit an application showing that e xp e ri e nc e is m e t in ord e r to tak e th e Land Application
on e of th e following pr e r e quisit e combinations of training and
e xp e ri e nc e is m e t in ord e r to tak e th e Subsurfac e Syst e m
e xamination.
f+) thr ee y e ars of acc e ptabl e e xp e ri e nce in subsurface
syst e m op e ration, installation, insp e ction or design
and th e succ e ssful completion of an approv e d
subsurfac e training school; or
{3^ compl e tion of th e eighth grade and hav e two y e ar s of
e xp e ri e nc e — m — subsurface — syst e m — operation,
installation, insp e ction or d e sign and th e s ucc ess ful
compl e tion of an approv e d sub s urfac e training school;
eF
(5) b e a graduat e of high s chool or hav e e arn e d an
e quival e nt GED and hav e on e y e ar of e xp e ri e nc e in
subsurface syst e m operation, in s tallation, insp e ction
or d e sign and succe s sful compl e tion of an approv e d
subsurfac e training school; or
(4) b e a graduat e of a two or four y e ar coll e g e (with a
minimum of 900 contact hours) with acad e mic
pr e paration in chemistr>'. biolog\'. public h e alth,
g e olog>', e nvironm e ntal sci e nc e , agronomy, s oils
e ngin ee ring, — or a related — fi«W — and — s ucc ess ful
completion of an approv e d sub s urface training s chool;
er
(^ b e a regist e r e d sanitarian, prof e ssional engineer, or
activ e ly — c e rtifi e d — wast e wat e r — operator with — aU
r e quir e d r e newal f ee s paid and succ e ssful completion
(3)
(^
W
e xammation.
f4-) thre e y e ars of acceptable e xp e ri e nc e in a land
application operation, and th e succ e ssful compl e tion
of an approv e d land application training s chool; or
completion of th e e ighth grad e and have two years of
e xp e ri e nc e in a land application op e ration and th e
s ucc e ssfiil compl e tion of an approv e d land application
training s chool; or
b e a graduat e of high s chool or hav e e arn e d an
e quival e nt GED and hav e on e y e ar of e xp e rienc e in a
land application op e ration, and s ucc ess fiil compl e tion
of an approv e d land application training school; or
b e e ith e r:
(t^ a graduat e of a two or four y e ar coll e g e (with a
minimum of 900 contact hours) with acad e mic
pr e paration — in — ch e mistry, — biology, — public
h e alth, — g e olog>', — e nvironm e ntal — science,
agronomy, soils, e ngin ee ring, or a related fi e ld;
Of
(B) a c e rtifi e d wast e wat e r tr e atm e nt plant op e rator
wi#i — aH — r e quir e d — r e n e wal — fees — paid;and
succ e ssfiil compl e tion of an approv e d land
application training school.
Provid e d, how e v e r that if an applicant fails th e Land Application
Sy s t e ms e xamination aft e r thr ee att e mpts, th e applicant must
th e n sati s factorily compl e t e a Land Application Syst e m s
approv e d training s chool before taking th e Land Application
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211
PROPOSED RULES
Systems e xamination again.
Authoritx' G.S. 90A-39: 143B-300.
.0212 SPRAY IRRIGATION OPERATOR
(a) An applicant for a Spray Irrigation Op e rator certificat e
unable to meet th e experi e nc e r e quir e m e nt, for the purpos e of
b e coming an op e rator in training (Oil). In order to qualify' for
hall b e expect e d to hav e s p e cific knowledg e regarding th e the OIT c e rtificat e th e applicant may lack a maximum of two
y e ars of e xp e ri e nc e that would b e r e quir e d to gain full
c e rtification at that l e v e l.
a iiuii u e (■ ■ Npcci e u lu nav e a po-iin. luiuv v iuug c i c gaiumg iii c
tr e atm e nt and spray irrigation of wa s t e wat e r. Th e applicant shall
hav e knowledge of th e principal s of th e s oil as a tr e atm e nt
l yst e m and the proper op e ration of spray irrigation s yst e m s . Th e {b) Upon succ es sfully passing th e e xamination at that l e v e l
applicant s hall b e familiar with th e charact e ristics of wast e wat e r
and th e prop e r op e ration and maint e nanc e of th e e quipm e nt us e d
in th e spray irrigation proc es s. — The applicant must also b e
th e applicant will b e issu e d an "op e rator in training" c e rtificate
for th e grad e appli e d for.
(e) The op e rator in training c e rtificat e do e s not qualify' th e
familiar with th e laws and r e gulations gov e rning th ese sy s t e m s individual to b e th e ORC of a facility of th e s am e classification
and shall have th e ability to malt e appropriat e calculation s . Th e a s th e OIT c e rtificat e . — Th e OIT c e rtificat e does qualify' th e
applicant s hall also hav e th e ability to k ee p and int e rpr e t r e cords
and to compl e t e r e ports as requir e d by the p e rmit.
fb^ Th e applicant shall submit an application s howing that
on e of th e following pr e r e qui s it e combinations of training and
experi e nc e has b ee n m e t in ord e r to tak e th e Spray Irrigation
e xamination.
fB three
s pray
m
^
w
individual to b e th e ORC of a facility that is on e or mor e
classifications b e low th e grad e of the OIT c e rtificat e .
(-d) Op e rator in Training c e rtificat e s must b e r e n e w e d
annually but s hall only b e valid for a p e riod of two y e ars. When
th e hold e r of an OIT c e rtificat e compl e t e s th e pr e r e qui s it e
e xp e ri e nc e for th e standard c e rtificate at that l e v e l, th e hold e r
must submit an application docum e nting th e e xp e ri e nc e , with th e
appropriat e f ee for a r e plac e m e nt c e rtificat e in ord e r to r e c e ive
th e standard c e rtificat e at that l e v e l.
Authority G.S. 90A-39: I43B-300.
.0214 DEFINITIONS
(a) Acc e ptabl e e xp e ri e nc e shall m e an th e total tim e sp e nt in
a wat e r pollution control syst e m op e ration and r e lat e d fi e lds of
which at least 50 p e rc e nt must b e actual op e rating e xp e ri e nc e in
a wat e r pollution control syst e m of th e sam e typ e as th e
c e rtificat e b e ing appli e d for (i e . actual e xp e ri e nc e in a
wast e wat e r tr e atm e nt syst e m is r e quir e d for applicants for
wast e wat e r op e rators c e rtificates, collection systems exp e ri e nc e
is r e quir e d for applicants for coll e ctions c e rtificat e s, e tc.)
fb) R e cogniz e d college or univ e rsity shall m e an an accr e dit e d
four y e ar institution awarding degre e s on th e bach e lor's l e v e l.
(e) R e cogniz e d two y e ar coll e g e or t e chnical school shall
(4) b e a privat e hom e own e r who int e nds to op e rat e only m e an an accr e dit e d two y e ar institution awarding d e gr ees on th e
associate level.
(4) R e lat e d e xp e ri e nc e shall m e an e xp e ri e nc e in fi e ld s r e lat e d
to th e wast e wat e r fi e ld s uch as: wat e r treatm e nt op e ration and
Provid e d, how e v e r, that if an applicant fails th e Spray Irrigation maint e nanc e : wast e wat e r maint e nanc e or installation: water or
e xamination aft e r three attempts, th e applicant mu s t th e n
s atisfactorily compl e te a Spray Irrigation approv e d training
school b e fore taking th e Spray Irrigation e xamination again.
Authority G.S. 90A-39: I43B-300.
.0213 OPERATOR-IN-TRAINING
(*) Th e Commission may allow an applicant for th e Grad e III
or IV wastewater tr e atm e nt plant op e rator c e rtificat e or th e
Grad e III or IV coll e ction s yst e m op e rator c e rtificat e to tak e th e
e xamination at that l e v el , if th e individual has m e t all of th e
pr e requisit e e ducation and c e rtification r e quir e m e nts but is
y e ar s of acc e ptabl e e xp e ri e nc e — in-
irrigation op e ration: or
compl e tion of th e e ighth grad e and hav e two y e ars of
e xp e ri e nc e in spray irrigation; or
b e a graduat e of high school or hav e e arn e d an
e quival e nt GED — and hav e on e y e ar of acc e ptabl e
e xp e ri e nce in spray irrigation; or
b e e ith e r:
fA^ a graduat e of a two or four y e ar coll e g e (with a
minimum of 900 contact hours) with acad e mic
pr e paration — m — ch e mi s try. — biology. — public
h e alth. — g e ology. — e nvironm e ntal — s ci e nc e ,
agronomy, soils, e ngin e ering or a related field;
er
fB) a c e rtifi e d wa s t e wat e r tr e atm e nt plant op e rator
W4#i — aU — r e quir e d — r e n e wal — fees — paid;and
succ e ssful compl e tion of an approv e d spray
irrigation training s chool; or
b e a privat e hom e own e r who int e nds to op e rat e only
th e ir own dom e stic, spray irrigation system who has
succ e ssfully compl e t e d an approv e d spray irrigation
training school.
wast e wat e r laboratory exp e ri e nc e : proj e ct e ngin ee ring involving
d e signing, con s tructing or start up of tr e atm e nt facilities:
coll e ction syst e m op e ration and maint e nanc e (for wast e wat e r
c e rtification or s ub s urfac e c e rtification) and insp e ction of
wast e wat e r tr e atm e nt faciliti e s.
(e) Satisfactory or succ e ssful compl e tion of an approv e d
training school shall mean att e ndanc e of at l e ast 8 p e rc e nt of
th e total hours of instruction of a non d e gr ee technical cours e
approv e d by th e Wat e r Pollution Control System Operators
C e rtification Commis s ion.
{f) Two \ e ars of coll e g e shall m e an a minimum of 900
contact hours.
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NORTH CAROLINA REGISTER
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PROPOSED RULES
Authority G.S. 90A-39: N3B-300.
SECTION .0300 - CERTIFICATION BY
EXAMINATION
.0301 TIME AND PLACE OF EXAMINATION
The Certification Commission or its representativ e s shall
conduct examinations for c e rtification at th e tim e and plac e
h e reinaft e r d e signat e d:
f4^ An e xamination will b e giv e n following th e annual
wa s t e water treatm e nt plant op e rator s ' s chool as
sponsor e d by th e North Carolina Water Control
Association and th e Wat e r Pollution Control Syst e m
Op e rators C e rtification Commission. Th e dat e . tim e ,
and plac e of e xamination will b e d e t e rmin e d by th e
C e rtification Commission. — Announc e m e nts of th e
school and examination will b e mail e d to th e own e rs
of all wast e wat e r tr e atm e nt plants and to oth e rs as
deemed appropriat e by th e C e rtification Commission.
Each applicant filing for e xamination will b e notifi e d
in writing of th e dat e . tim e , and plac e of th e
e xamination and th e r e quir e d grad e for pa ss ing th e
e xamination.
(3) Examinations may b e administ e r e d following r e gional
wast e wat e r tr e atm e nt plant op e rator' s schools. Th e
e xamination will b e sch e dul e d at th e sam e location at
which th e school is h e ld or at anoth e r conv e ni e nt
location. Announc e m e nts of th e school will b e mail e d
to all wast e wat e r tr e atm e nt plants in th e r e gion in
which th e school will b e h e ld. In addition, th e dat e
and tim e of th e e xamination will b e announc e d at the
school and e ach applicant will b e notifi e d in writing
of th e dat e . tim e , and plac e of th e e xamination and th e
r e quir e d grad e for passing th e examination.
(^ Special — e xamination s — may — be — giv e n — by — the
Commission at any time or plac e wh e n a s uffici e nt
number of applications have been fil e d to justify' an
e xamination, a s d e t e rmin e d by th e Commi ss ion. Each
applicant filing for e xamination will b e notifi e d in
writing of th e dat e , tim e , and plac e of th e e xamination
and the required grad e for passing th e e xamination.
Authorit\' G.S. 90A-39; 93B-8: 143B-300.
.0302 CONDUCTING AND GRADING
EXAMINATIONS
(e) Examinations, pr e par e d by m e mb e rs of th e Commission
er — its — authorized — r e pr ese ntativ es — and — approv e d — by — the
proctor and th e id e ntification numb e r will b e r e corded on th e
fac e of th e examination paper.
(b) R e pr e s e ntativ e s of th e Commission, or other authoriz e d
r e pr e s e ntativ es , who ar e s up e rvising th e e xaminations may tak e
appropriat e action again s t applicant s , including dismissal from
th e e xamination, if ch e ating do e s occur. If th e applicant holds
a — c e rtificat e — alr e ady. — the — Commission — may — reveke — the
c e rtification in accordanc e with G.S. 90A 11 and ISA NCAC
8 D .000 4 . for ch e ating on an e xamination.
Authority' G.S. 90A-39; 93B-8: 143B-300.
.0303 EXAMINATION RESULTS AND ISSUANCE
OF CERTIFICATES
(a) Within as short a p e riod as f e asibl e , aft e r an e xamination,
th e e xamin ee will b e inform e d, in writing only, by the
Commission or its authoriz e d r e pr e s e ntativ e s as to th e r e sults of
hi s e xamination. If a passing scor e is mad e , such notification
constitut e s c e rtification by th e Commission that th e applicant is
a qualifi e d op e rator in th e appropriat e grad e . — Aft e r e ach
e xamination, a list of tho se c e rtifi e d shall b e drawn up and mad e
a part of th e p e rman e nt r e cords of th e Commission. Copi e s of
th ese li s t s will b e provid e d to e ach Commission m e mb e r. Upon
compl e tion of th e l e tt e ring, th e qualify'ing applicant will b e
i s su e d a c e rtificat e d e signating his l e v e l of comp e t e ncy.
(fe) Und e r normal circumstanc e s, n e ith e r th e e xamination
grad e nor th e e xamination pap e r of any applicant will b e mad e
availabl e to anyon e oth e r than th e m e mb e rs of th e Commission
and thos e approv e d p e rsons who assist in conducting and
grading th e e xaminations. Th e e xamination pap e rs will b e h e ld
for a p e riod of six months following notification to th e
e xamin ee . Qu es tion s — by — the — applicant — concerning the
examination must b e mad e in writing to th e Commission within
that p e riod. An applicant who fails to pa s s an e xamination s hall
b e e ntitl e d to and notifi e d of th e privil e g e to r e vi e w his
e xamination in th e pr ese nc e of on e or mor e — Commis s ion
m e mb e r s or its authoriz e d r e pr ese ntativ e in th e Ral e igh offic e ,
or upon r e qu es t, at a r e gional offic e of th e D e partm e nt of
Environm e nt, H e alth and Natural R e sourc e s or oth e r appropriat e
plac e .
(e) In ord e r to assur e activ e c e rtification, an annual r e n e wal
f ee will b e requir e d as specifi e d in G.S. 90A M. If th e r e n e wal
fe e is not paid for thre e cons e cutiv e y e ars, th e Commission may
invalidat e th e c e rtificat e in accordanc e with 15 A NCAC 8 D
.0004(d).
Authority G.S.
N3B-300.
90.4-39: 90A-40; 90A-42: 93B-3: 93B-8;
Commission, will bo given only to thos e who, aft e r filing proper
application, have boon determin e d to b e e ligibl e . Examinations
will b e conduct e d and grad e d und e r th e sup e rvision of a
.0304 CONDITIONAL CERTIFICATION
Th e c e rtification — commi ss ion — ff»y — issae — a — conditional
r e pr e s e ntativ e — ef — the — Commission, — er — its — authoriz e d c e rtification with e xamination when, in th e opinion of th e
commi s sion, th e situation warrants special consid e ration. — A
conditional c e rtificat e with examination may b e issu e d at th e
r e presentativ e s. — A ss istanc e in conducting and grading the
e xaminations may b e sought from m e mb e rs of th e Division of
Environm e ntal Manag e ment, and oth e r appropriat e p e rsons with discr e tion of th e commis s ion when th e commission find s that
th e approval of th e Commission. WTion e ach e xamin ee r e c e iv e s
hi s e xamination pap e r, h e will identify hims e lf by way of his
driv e r's licens e or oth e r form of identification s atisfactory to th e
this is most appropriate for ensuring the prop e r op e ration of
wast e water tr e atment facilities. — Conditional c e rtificates with
e xamination will g e nerally b e limited to circumstances whore th e
\13:2
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213
PROPOSED RULES
natur e of th e wa s t es and wastewater tr e atm e nt proc e ss e s at
c e rtain faciliti es mav b e s uffici e ntlv diff e r e nt from conv e ntional
-eU
classification — of th e — facility — fer — which — he — is
r es pon s ibl e :
{¥) Wh e n an op e rator has att e mpt e d to secur e p e rman e nt
c e rtification by taking e xamination and fails:
(^ An e mplo\ e r had un e xp e ctedly lost a c e rtifi e d
op e rator and must s e cur e a c e rtifi e d op e rator in ord e r
to comply with th e G e n e ral Statut e s.
fe) Application for a t e mporary c e rtificat e must bo mad e on
-/^ — conditional — c e rtification with an official application blank, obtainabl e fi'om th e Commission.
dom e stic wa s t e wat e r tr e atment as to warrant the issuanc e ot a
conditional c e rtificat e \sith e xamination. The commission mas
r e quir e — that — propo s al s — fer — conditional — c e rtification — with
e xamination includ e a training program. — Generally, such
proposal s will b e con s id e r e d onK if rendered by an association
r e pr ese nting th e particular tr e atment faciliti e s in>olv e d in a
sp e citic — type — proc es
e xamination i ss u e d und e r th ese circum s tanc e s will b e valid for and must b e accompani e d by th e appropriate certification f ee .
us e by th e hold e r onK in th e typ e of tr e atm e nt facility for which It must also b e accompani e d by a stat e m e nt signed by th e mayor.
th e op e rator is c e rtifi e d. G e n e rally, th ese will b e id e ntifi e d by a the city manag e r, th e chairman of th e governing board or chi e f
administrative offic e r of th e political s ubdivision or from th e
own e r or offic e r in r e spon s ibl e charg e in th e cas e of a privat e
will b e r e quired in accordanc e \\ ' \xh 90 A 12. A r e qu e st for a utility or indu s try. Such stat e m e nt shall d e lin e at e th e r e asons
s p e cific standard indu s trial clas s ification numb e r. In ord e r to
assur e an activ e conditional c e rtificat e , an annual r e n e wal f ee
conditional c e rtificat e with e xamination will b e mad e by why a t e mporary c e rtificat e is b e ing r e qu e st e d, shall d e signate
application — and — submitted — w4th — appropriat e — f«e — te — the th e applicant as th e op e rator in r e sponsibl e charge, and shall
commi s sion. Examination for conditional c e rtification will b e
pr e par e d and admini s t e r e d as dir e ct e d by th e c e rtification
commission.
Authority- G.S. 90A-3~: 90A-40(a): 90A-42<4l: 143B-300.
SECTION .0400 - CERTIFICATION WITHOUT
EXAMINATION
.0402 RECIPROCITY CERTIFICATION
(a^ P e rman e nt c e rtificat es in th e appropriat e tvp e and grad e
s p e cify' plans to acquire p e rman e nt c e rtification by e xamination.
Th e conditions surrounding this request w ill b e r e vi e w e d by th e
s taff and if all condition s ar e m e t th e Commi s sion or its d e sign ee
max appro\ e th e issuanc e of th e t e mporary c e rtificat e . If th e
staff d e t e rmin e s that all conditions hav e not been m e t. th e
Commi s sion will consid e r th e requ e st and will d e t e rmin e if th e
t e mporary c e rtificat e i s to b e issu e d.
{4) T e mporary c e rtificat e s ar e valid for on e y e ar from th e dat e
of issuanc e at the plac e of e mploym e nt for which th e y ar e
is s u e d.
fe-> A t e mporary c e rtificat e ma\ onK b e r e qu e st e d for
may b e issu e d without e xamination to indi\ iduals list e d on th e "t e mporary" situations and will b e limit e d to th e original on e
R e ciprocity R e gi s try of th e National A s sociation of Boards of
C e rtification.
\ e ar of issuanc e plus on e \ ear additional ren e wal p e riod for on e
individual. A t e mporan c e rtificat e or c e rtificat es will b e valid
{b) yVft e r r e c e ipt of application, f ee . and proof of listing on at an> individual xi i at e r pollution control s> st e m for no mor e than
th e R e ciprocity Registry of th e National Association of Boards thr ee continuous > e ars from th e original dat e of issuanc e ,
of Certification, th e C e rtification Commi s sion or its d e sign ee {f) If for any r e ason it becom e s n e c e ssan' for th e emplov e r to
may issu e a p e rman e nt c e rtificat e in th e appropriat e tsp e and fil e an application r e qu e sting th e is s uanc e of a se cond t e mporary
grad e if satisfi e d that all oth e r conditions for c e rtification ar e c e rtificat e . — stieh — application — mast — be — accompani e d — by
fe4 In ord e r to as s ur e activ e c e rtification, an annual ren e wal
f ee in th e amount s p e cifi e d in G.S. 90A 12 will b e r e quir e d.
Aulhorit}- G.S. 90A-3': 90A-40(d): 90A-42: 143B-300.
.0404 TEMPORARY CERTIFICATION
(a) T e mporary c e rtification, without e xamination. ma\ be
issu e d bs th e C e rtification Commi s sion at its di s cr e tion.
T e mporan c e rtificat e s ma\ — be — issu e d with — sueh — s p e cial
condition s or r e quir e m e nts r e lating to th e plac e of e mplo\m e nt
of th e p e rson holding th e c e rtificate or oth e r matt e rs as the
Commission ma> deem necessarx to prot e ct th e public h e alth
and maintain th e xxat e r qualitv standards in th e r e c e ix ing wat e r s
as assign e d bv th e Environm e ntal Manag e m e nt Commission.
docum e ntation of the employ e r's e fforts to e mplox a prop e rK
c e rtifi e d op e rator in addition to all applicabl e r e quir e m e nts for
t e mporary c e rtificat e issuanc e .
{%) Th e applicant for a t e mporary c e rtificat e must poss e ss th e
capability to b e com e e ligible for e xamination for p e rman e nt
c e rtification within th e p e riod of th e r e qu e st e d temporary
c e rtificat e . Upon b e coming qualifi e d b\ r e a s on of e xp e ri e nc e .
e ducation and training, h e is e xp e ct e d to appl\ for e xamination
and obtain a perman e nt c e rtificat e . Failur e to att e mpt p e rman e nt
c e rtification will b e r e a s on for not granting r e n e wal.
fh-) If e ligibl e for t e mporary c e rtification, th e applicant will b e
issu e d a t e mporary c e rtificat e of a grad e e quival e nt to th e
cla ss ification of the wast e wat e r tr e atm e nt facility in which th e
applicant i s e mploy e d.
fb^ i ss uanc e of such t e mporary c e rtificates shall be limit e d to Authority G.S. 90A-40(e): 143B-300.
s ituations wh e r e the suppK or availability of c e rtifi e d op e rators
i s found to b e inadequate. Circumstanc e s that will b e con s id e r e d
b> th e Commission includ e :
(-H A c e rtifi e d op e rator in a low e r grad e l e v e l — is
accumulating e xp e ri e nc e in ord e r to qualify to tak e
e xamination in a high e r grade l e v e l e qual to th e
.0405 TEMPOR.\RY CERTIFICATION RENEWAL
fa4 T e mporan. c e rtification r e n e wal must b e r e qu es t e d 60
das 5 prior to th e e xpiration date of a t e mporary c e rtificat e . Th e
r e qu e st must b e mad e bs application and accompani e d by
appropriat e f ee and a l e tt e r or stat e ment pr e par e d by th e own e r
214
.\ORTH CAROLISA REGISTER
July 15. 1998
13:2
PROPOSED RULES
s e tting forth att e mpts made by th e op e rator to b e com e
p e rman e ntly c e rtified by e xamination during the temporary
certification period and a documentation of th e e fforts by th e
cemiicuLiuii ^ci luu miu u uucuiiiuiitmnjii ui m e c injim uy ui c
ovsTior to s e cur e a permanently c e rtifi e d op e rator, and any oth e r
information request e d by th e commission r e lativ e to the owner's
inability to retain a p e rman e ntly certified op e rator.
(b) No temporary c e rtification r e n e wal shall b e issu e d if th e
op e rator lacks th e capacity to b e com e e ligibl e for e xamination wh e n an applicant is in e ligible for certification or has ov e rpaid.
for p e rmanent certification at th e required grad e within on e year
Authority G.S. 90A-40(f).
SECTION .0500 - FEES: REINSTATEMENT:
AND ANNUAL REPORT
.0502 REFUNDING OF FEES
Foes will b e r e fijnd e d in accordanc e with 1 5 A NCAC 8 A .0202
Authority G.S. 90A-42: 143B-300.
.0506 CONTRACT OPERATORS ANNUAL
REPORT
of r e n e wal application dat e . — The T e mporary C e rtification
Ren e wal shall b e valid for one y e ar from th e dat e of e xpiration
of th e initial T e mporary C e rtificat e .
(e) The ren e wal r e qu e st will b e con s id e r e d for approval by
th e c e rtification commission and upon approval, a certificate will All Contract Op e rations Firms must file an annual r e port with
be issued with th e und e rstanding that the commission will not the — C e rtification — Commission — in — accordance — with — GtSt
issu e a s e cond t e mporary c e rtificat e r e n e wal to th e sam e
individual.
Authority G.S. 90A-40(e): 90A-42; N3B-300.
.0406 VOLUNTARY CONVERSION TO
MANDATORY CERTIFICATION
(a) Individuals who hold c e rtificat es of comp e t e ncy issu e d
und e r th e voluntary c e rtification program for coll e ction sy s t e m
op e rators administ e r e d by th e North Carolina Wat e r Pollution
Control Association may apply for conv e rsion of th e voluntary'
c e rtificat e to a c e rtificat e issu e d by th e C e rtification Commission
of th e sam e typ e and grad e in accordanc e with G.S. 90 A '10(0-
{b) Applications for conv e rsion will b e mad e availabl e to
thos e individuals c e rtifi e d und e r th e voluntary c e rtification
program. — Th e s e applications must b e submitt e d with th e
appropriat e f ee for a conv e rsion c e rtificat e in accordanc e with
G.S. 90A 12 ( 8 ).
90A ^5(c). — This r e port shall b e on fil e in the offic e of th e
Chairman on or b e for e January 1 5 of each y e ar. This report
shall includ e :
m Th e nam e of th e company, mailing addr e ss, phone
numb e r, nam e of th e own e r, and nam e of th e principal
contact for c e rtification activiti e s; th e nam e s and
p e rmit numb e rs of th e syst e ms for which th e company
is r e sponsibl e ; th e counti es in which th e company
op e rat es ; — th e c e rtifi e d — laboratory — used — by th e
company; th e nam es of th e c e rtifi e d p e rsonn e l
e mploy e d by th e company and th e ir c e rtification s ;
oth e r r e lat e d s e rvic e s that th e company wish e s to
r e port; and
(3) th e company's willingn es s to app e ar on a list of
contract op e rations firms and to hav e this fil e
information availabl e to th e public.
Authority G.S. 90A-45(c).
SUBCHAPTER 8C - CLASSIFICATION OF WATER POLLUTION CONTROL SYSTEMS
.0002 RATING SCALE FOR CLASSIFICATION OF WASTEWATER TREATMENT FACILITIES
(a) In plant proc e ss e s and related control equipment which ar e an int e gral part of indu s trial production s hall not b e consid e r e d
wast e tr e atm e nt for the purpose of this S e ction. Faciliti e s consisting of a se ptic tank and subsurfac e di s po s al fi e ld without a pump
or oth e r appurt e nances will not b e s ubj e ct to th e prov i sions of thi s S e ction. Pr e tr e atm e nt s y s t e ms prior to s ubsurface treatm e nt and
disposal syst e ms in e xcess of septic tanks, pump tanks, s iphon or pump do s ing syst e m s , s and filt e r s , gr e a se traps and gr e a se
int e rc e ptors, and oil/water separators shall b e rat e d according to this S e ction. — Pr e tr e atm e nt s y s t e ms prior to s pray irtigation of
wast e wat e r in e xc e ss of pr e liminary tr e atm e nt, lagoons, s e ptic tanks, pump tanks, pumps, sand filt e r s , gr e as e trap or gr e a s e
int e rc e ptors, oil/water separator s , di s inf e ction and ch e mical addition for nutri e nt or alga e control, shall b e rat e d according to this
S e ction.
(b) Th e following scal e i s us e d for rating wast e wat e r tr e atm e nt faciliti e s:
ITEM POINTS
{+) Industrial Pretreatment Unit s orlndu s trial Pr e tr e atm e nt Program(s ee d e finition No. 33) 4
(3) DESIGN FLOW OF PLANT IN gpd [not applicabl e to non contaminat e d cooling wat e rs, sludg e handling faciliti es for water
purification plants, tota l ly clo se d cycl e sy s t e ms ( see d e finition No. 1 1), and faciliti e s consisting only of It e m ( 4 ) (d) or It e ms
(1)(d)and(ll)(d)]
20.001
50.001
100.001
250.001
20.000 +
50.000 2
100.000 ^
250.000 4
500.000 %
13:2
NORTH CAROLINA REGISTER
July 15, 1998
215
PROPOSED RULES
500.001 -- 1.000.000 %
1.000.001 -- 2.000.000 W
2.000.001 — (and up) rat e 1 point additional for e ach 200.000 gpd capacity up to a maximum of: ^
Design Flow (gpd):
(^ PRELIMINARY UNITS/PROCESSES ( see d e finition No. 32)
fA) Bar Scr ee ns 4-
eF
f&) Mechanical Scr ee ns. Static Scr ee ns or Comminuting D e vic es 3
{Q) Grit R e moval 4-
er
{&) M e chanical or Aerat e d Grit R e moval 3
(&) Flow M e asuring D e vic e 4-
eF
fF) Instrum e nt e d Flow M e asur e m e nt 3
{G) Pr e a e ration 3
(H) Influ e nt Flow Equalization 3
^ Gr e a se or Oil S e parators — Gravit\' 3
M e chanical 3^
Dissolv e d Air Flotation %
f44 Pr e chlorination §>
(4) PRIMARY TREATMENT UNITS/PROCESSES
(A) . . . S e ptic Tank (s ee d e finition No. 4 3) 3
(B) ... ImhoffTank #
(G) . . . Primar\' Clarifi e rs &
(B) . . . S e ttling Ponds or S e ttling Tanks forlnorganic Non toxic Mat e rials (sludg e handling faciliti e s
for v s at e r purification plant s , s and, grav e l, s ton e , and oth e r mining op e rations e xc e pt r e cr e ational
activiti e s such as g e m or gold mining) 3
(^ SECONDARY TPv£ATMENT UNITS/PROCESSES
(A) Carbonac e ous Stag e
(+) A e ration High Puritv' Oxyg e n Sv s t e m 30
Diffus e d Air System +0
M e chanical Air Syst e m (fix e d, floating or rotor) %
S e parat e Sludg e R e a e ration 3-
fit) Trickling Filt e r High Rat e 7
Standard Rat e #
Pack e d Tow e r &
fiii) Biological A e rat e d Filt e r or A e rat e d Biological Filt e r 4-0
(4v) Aerat e d Lagoons +0
(-v4 Rotating Biological Contactors 40
(v+) Sand Filt e rs int e rmittent biological 3
r e circulating biological 3
{¥if) Stabilization Lagoons &
(viii) Claritl e r &
(4^ Singl e stag e syst e m for combined carbonaceous r e moval of BOD and nitrog e nous
r e moval by nitrification ( see d e finition No. 12) (Point s for this it e m hav e to b e in addition
to it e m s (5) (a) (i) through (5) (a) (viii). utilizing th e e xt e nd e d a e ration proc e ss
(s ee d e finition No. 3) 3
utilizing oth e r than the extend e d a e ration proc e s s %
{^ Nutrient additions to e nhanc e BOD r e moval &
(^ Biological Cultur e ("Sup e r Bugs") addition to e nchanc e organic compound r e moval ^
{&) Nitrog e nou s Stag e
(+4 A e ration High Purity Ox>gon Syst e m 30
Diffu se d Air System +0
M e chanical Air Sy s t e m (fix e d, floating, or rotor) %
S e parate Sludg e R e a e ration -S-
0+) Trickling Filt e r High Rat e 7
Standard Rat e &
Pack e d Tow e r %■
216 SORTH CAROLINA REGISTER July 15. 1998 13:2
PROPOSED RULES
(iii) Biological A e rat e d Filt e r or A e rat e d Biological Filt e r +0
(iv) Rotating Biological Contactors +8
(v^ Sand Filter int e rmitt e nt biological 3
Recirculating biological 3^
(vi) Clorifi e r #
(#) TERTIARY OR ADVANCED TREATMENT UNITS/PROCESSES
(A) Activat e d Carbon B e ds
without carbon r e g e n e ration #
with carbon regeneration +§
(B) Powd e r e d or Granular Activat e d Carbon F ee d
without carbon r e g e n e ration #
with carbon r e g e n e ration 44
(C) Air Stripping 4
(D) D e nitriFication Proces s (separat e proc e ss) +0
fE) El e ctrodialy s i s #
(F) Foam S e paration #
(5) Ion Exchang e 4
(H) Land Application of Tr e at e d Efflu e nt ( see d e finition No. 22b)(not applicabl e for sand, grav e l.
stone and oth e r similar mining op e rations) by high rat e infiltration 4
(I) Microscr ee ns #
{i) Phosphorus R e moval by Biological Proc es s es (S ee d e finition No. 26) 30
(K) Polishing Ponds without aeration 2
with a e ration #
(fe) Post A e ration ca s cad e
diffii se d or m e chanical 3
(M^ R e v e rs e O s mo s is %
(M) Sand or Mix e d M e dia Filt e r s — low rat e 3
high rat e %
(O) Tr e atm e nt proc es s es for r e moval of m e tal or cyanid e 44
fP^ Tr e atm e nt proc e ss e s for r e moval of toxic mat e rial s oth e r than m e tal or cyanid e 44
f?) SLUDGE TREATMENT
(A^ Sludg e Dig es tion Tank ■ H e at e d 40
A e robic 4
Unh e at e d i
(6) Sludg e Stabilization (ch e mical or th e rmal) 4
(€) Sludg e Dr>'ing B e ds — Gravity 3
Vacuum Assist e d 4
fD) Sludg e Elutriation 4
fE) Sludg e Condition e r (ch e mical or th e rmal) 4
fF) Sludg e Thick e n e r (gravity) 4
^G) Dissolv e d Air Flotation Unit [not applicabl e to a unit rat e d as (3) (i)] 8
(44) Sludg e Gas Utilization (including gas storage) 3
{\) Sludg e Holding Tank — A e rat e d 4
Non a e rat e d 3
(4) Sludg e Incin e rator (not including activat e d carbon regeneration) 40
(4v) Vacuum Filt e r. C e ntrifug e or Filt e r Press or oth e r s imilar d e wat e ring d e vic es 40
{%) RESIDUALS UTILIZATION/DISPOSAL (including incin e rat e d a s h)
(A) Lagoon s 3
f&) Land Application (surfac e and subsurfac e )( see d e finition 22a) by contracting to a land
application op e rator or landfill operator who holds the land application p e rmit or landfill permit .... 3
fG) D e dicat e d Landfill e d (burial) by th e permitt ee of th e wast e wat e r tr e atm e nt facility 4
(9) DISINFECTION
{A) Chlorination 4
(B) D e chlorination 4
{€) Ozone 4
(O) Radiation 4
(4^ CHEMICAL ADDITION SYSTEM(S) (s ee d e finition No. 0) [not applicabl e to ch e mical additions
rat e d as It e m (3) 0), (5) (a) (xi). (6) (a), (6) (b).(7) (b). (7) (o). (9) (a). (9) (b). or (9) (c)]
13:2 NORTH CAROLINA REGISTER July 15, 1998 217
PROPOSED RULES
5 points e ach:
List ^
^
^
&
{W, MISCELLANEOUS UNITS/PROCESSES
Holding Ponds. Holding Tanks or S e ttling Ponds for Organic or Toxic Mat e rials including
wa s t es from mining operations containing nitrogen or phosphorous compounds in amount s
significantly gr e at e r than is common for dom e stic wast e wat e r 4
Efflu e nt Flow Equalization (not applicabl e to storage basins which ar e inh e r e nt in land
application sy s t e m s ) 3
Stag e Discharg e (not applicabl e to s torag e ba s in s inh e r e nt in land application syst e ms) %
Pumps i
Stand By Pow e r Supply 3^
Th e rmal Pollution Control D e vic e 3
TOTAL POINTS
^
CLASSIFICATION
Class I 5 25 Points
Cla ss II 26 50 Points
Clas s III 51 65 Points
Class IV 66 Up Points
Faciliti e s having a rating of on e through four points, inclusiv e .
do not r e quir e a c e rtifi e d op e rator. Classification of all oth e r
faciliti es r e quir e s a comparable grad e op e rator in r e sponsible
charg e .
Th e following sy s t e ms shall b e assign e d a Class 1 cla s sification-
Faciliti e s having an activat e d sludg e proc e ss will b e assign e d a
minimum classification of Class II.
Facilities ha\ th g tr e atm e nt proc es s e s for th e r e moval of m e tal or
cyanid e will b e assign e d a minimum classification of Class II.
unl e ss th e fiow is of a significant quantity or th e t e chnology is Faciliti e s having tr e atm e nt process e s for th e biological removal
unusually compl e x, to r e quir e consid e ration by th e Commis s ion
on a ca se by ca se basis:
Oil ' wat e r — S e parator — Syst e ms — consisting — enly — ef
physical s e paration, pump s and dispo s al:
S e ptic TanL'Sand Filt e r Syst e ms consisting only of
se ptic tanks, dosing apparatus, pumps, sand filt e rs.
disinf e ction and disposal:
Lagoon — Syst e ms — con s isting — only — of pr e liminary
tr e atm e nt, lagoons, pumps, disinf e ction, n e c e ssary
ch e mical tr e atment for alga e or nutri e nt control, and
di s charg e :
Clos e d loop R e cycl e Syst e ms:
Groundwat e r R e m e diation S> st e ms consisting only of
pumps, air stripping, carbon adsorption, disinf e ction
and disposal:
Fi s h farms with discharg e to surfac e wat e rs:
Wat e r Plant sludg e handling and back wash water
tr e atm e nt:
S e afood — proc es sing — con s i s ting — of s creening — and
dispo s al .
Singl e family di s charging syst e ms with th e e xc e ption
of A e robic Tr e atm e nt Units, will be classified if
p e rmitt e d after July 1 . 1 0Q3 or if upon insp e ction h\ th e
Division, it is found that th e s yst e m is not b e ing
adequateK operated or maintain e d. Such sy s t e m s will
b e notifi e d of the cla s sification or r e clas s ification by
th e Commission, in writing.
of phosphorus will bo assign e d a minimum clas s ification of
Cla s s III.
Authority G.S. 90 A- 37.
.0004 DEFINITIONS
The — following — d e finition s — shaH — apply — throughout — this
Subchapt e r:
f4 Activat e d Carbon B e ds. A physical/ch e mical m e thod
for r e ducing solubl e organic mat e rial from wast e wat e r
e fflu e nt: Th e column typ e b e ds us e d in this m e thod
will hav e a flow rat e varying from two to e ight gallons
p e r minute p e r squar e foot and mav b e e ith e r upflov i
or downflow carbon beds. Carbon may or ma> not b e
r e g e n e rat e d on th e wast e wat e r tr e atment plant sit e :
(34 A e rat e d Lagoons. — A ba s in in which all solids ar e
maintain e d in susp e nsion and by which biological
oxidation or organic matt e r is r e duc e d through
artificially acc e l e rat e d transf e r of ox>g e n on a
flow through basi s :
{^ A e ration. — A proc e ss of bringing about intimat e
contact b e tw ee n air or high purity oxyg e n in a liquid
by — spraying. — agitation — er — diffu s ion. Ext e nded
A e ration. — An activated sludg e proc ess utilizing a
minimum hydraulic detention tim e of 1 8 hours:
H-) Agriculturally managed site. An\ sit e on which a crop
is produc e d, manag e d, and harv e st e d (Crop includ e s
grass e s, grains, tr ee s, e tc);
218
"^^
yORTM CAROLINA REGISTER
IB
July 15, 1998
13:2
PROPOSED RULES
(^ Air Stripping. A proc e ss by which th e ammonium ion
is — first — convert e d — te — dissolv e d — ammonia — (pH
adju s tment) with th e ammonia then r e l e as e d to the
atmosph e r e by physical means; or oth e r similar
proc e ss e s which r e mov e p e trol e um products such as
b e nz e n e , tolu e ne, and xyl e n e ;
(6) Carbon R e gen e ration. Th e r e g e n e ration of exhaust e d
carbon by th e us e of a furnace to provid e e xtr e m e ly
high t e mperatures which volatiliz e and oxidiz e th e
absorb e d impuriti e s;
(^ Carbonac e ous Stag e . A stag e of wast e water treatm e nt
d e sign e d to achi e v e "s e condary" e fflu e nt limits;
{%) C e ntrifug e . A m e chanical d e vice in which centrifugal
forc e is us e d to s e parate solids from liquids or to
s e parat e liquids of different d e nsiti e s;
{^ Ch e mical — Addition — Syst e ms Th e addition of
chemical(s) to wast e wat e r at an application point for
purpo s es of improving solids r e moval. pH adjustm e nt,
alkalinity control, e tc.; th e capability to e xp e rim e nt (3^
with diff e r e nt ch e micals and diff e r e nt application
points to achi e v e a sp e cific r e sult will b e con s id e r e d
on e syst e m; th e capability to add ch e mical( 5 ) to dual
units will b e rat e d as on e syst e m; capability to add a
ch e mical at diff e r e nt application points for diff e r e nt
purpos e s will r e sult in th e s y s t e m s b e ing rat e d a s
s e parat e syst e ms;
fW) Ch e mical Sludg e Conditioning. — Th e addition of a
ch e mical compound such as lim e , f e rric chlorid e , or a
pohTn e r to w e t sludg e to coal e sc e th e mass prior to its
application to a d e wat e ring d e vic e ;
f44) Clos e d Cycl e Syst e ms. — Us e of holding ponds or
holding — tanks — fef — containm e nt — ef — wast e wat e r
containing inorganic, non toxic mat e rials from sand,
grav e l, crush e d stone or other similar operations.
Such syst e ms shall carry a maximum of two points
r e gardless — of pumping — facilities — of — any — oth e r
appurtenances;
f-l-2) Combin e d R e moval of Carbonac e ou s BOD and
Nitrogenous Removal by Nitrification — A singl e s tag e
system r e quir e d to achi e v e p e rmit e fflu e nt limits on
BOD — and — ammonia — nitrog e n — within — the — sam e
biological r e actor;
fl4) Dechlorination. Th e partial or compl e t e r e duction of
r e sidual chlorin e in a liquid by any ch e mical or
phy s ical proc e s s ;
/ 1 Q\
D e nitrification — Proc e s
-flie — conv e rsion — ef
nitrate nitrog e n to nitrog e n gas;
Electrodialysi s . — Proc e ss for r e moving ioniz e d salts
from — wat e r — through — the — use — ef — ion s e lective
ion exchang e m e mbran e s;
Filt e r Pr e ss. — A proc e ss op e rat e d m e chanically for
partially dewatering sludg e ;
Foam Separation. Th e plann e d frothing of wastewater
or wast e wat e r efflu e nt as a m e ans of r e moving
e xc e ssiv e amounts of d e t e rg e nt mat e rials through the
introduction of air in th e form of fin e bubbl e s; also
call e d foam fractionation;
Grit R e moval. Th e proce ss of r e moving grit and oth e r
h e avy min e ral matt e r from wast e water;
fW) Imhoff Tank. — A d ee p two story wast e wat e r tonic
consisting of an upp e r sedim e ntation chamb e r and a
low e r sludg e dig e stion chamb e r;
(3^ Instrum e nt e d Flow M e asur e m e nt. — A device which
indicates and records rat e of flow;
(344 Ion Exchang e . A chemical proc e s s in which ions from
two diff e r e nt mol e cul e s ar e e xchanged;
(33) Land application:
(a) Sludg e Disposal. A final s ludg e disposal method by
which wet sludge may b e appli e d to land e ith e r by
spraying on th e surface or by subsurfac e inj e ction
(i. e .. chis e l plow); — [not applicabl e for typ e s of
sludg e d e scrib e d in ( 1 1 ) of this Rul e ];
(b) Tr e at e d Efflu e nt. Th e proc e ss of spraying tr e at e d
wast e wat e r onto a land ar e a or other m e thod s of
application of wast e wat e r onto a land area a s a
(34)
(34)
(3^
(3^
\-i-0 7
(39)
(^
(^
m e an s of final disposal or tr e atm e nt;
M
i . iicroscr ee n. A — lew — sp ee d. — continuously
back - wash e d, rotating drum filt e r op e rating und e r
gravity condition s as a polishing m e thod for r e moving
su s p e nd e d solids from e fflu e nt;
Nitrification Proc e ss. Th e bioch e mical conv e rsion of
unoxidiz e d nitrog e n (ammonia and organic nitrog e n)
to oxidiz e d nitrog e n (usually nitrat e );
Nitrog e nous Stag e . A s e parat e stag e of wast e wat e r
tr e atm e nt d e sign e d for th e sp e cific purpos e of
conv e rting ammonia nitrog e n to nitrat e nitrog e n;
Phosphat e R e moval. Biological. — Th e r e moval of
phosphorus from wast e wat e r by an oxic/anoxic
proc e ss d e sign e d to e nhanc e luxur)' uptak e of
phosphorus by th e microorganisms;
Polishing Pond. A holding pond following secondary
tr e atment with s uffici e nt d e t e ntion tim e to allow
se ttling of fin e ly susp e nd e d solids;
Post A e ration. A e ration following conv e ntional
s e condary tr e atm e nt units to incr e as e e fflu e nt D.O. or
for any oth e r purpo se ;
Post A e ration. — (Cascad e ) — A polishing m e thod by
which dissolv e d oxyg e n is add e d to th e e fflu e nt by a
nonm e chanical. gravity m e ans of flowing down a
s e ri e s of st e ps or w e irs; Th e flow occurring across th e
st e ps or w e irs mov e s in a fairly thin lay e r and th e
op e ration — of th e — cascad e — r e quir e s — ne — op e rator
adjustm e nt; thus, z e ro points ar e assign e d e v e n though
this is an essential st e p to meeting th e limits of th e
di s charg e p e rmit;
Powd e r e d or Granular Activat e d Carbon F ee d. — A
biophysical carbon proc e ss that utilizes biological
activity and organic ab s orption by u s ing powd e r e d or
granular activated carbon; — Virgin or r e g e n e rat e d
carbon is feed controlled into the system;
Pr e a e ration. A tank constructed to provid e a e ration
prior to primarv' tr e atm e nt;
Pr e liminary Units. Unit op e rations in th e tr e atm e nt
process, such as scr ee ning and comminution, that
pr e par e th e liquor for subs e qu e nt major op e ration s ;
Industrial Pr e tr e atm e nt.
13:2
NORTH CAROLINA REGISTER
July 15, 1998
219
PROPOSED RULES
(a)
(^
^
Pr e tr e atment Unit. Industrial. Th e conditioning of
a wast e at its source b e for e discharg e , to r e mov e or
to n e utraliz e substanc e s injuriou s to s e w e rs and
tr e atm e nt proc e s se s or to e ff e ct a partial r e duction in
load on th e tr e atment proc ess which is op e rat e d by
the — sam e — gov e rning — body — as
treatm e nt plant being rated:
Pre tr e atm e nt Program. Industrial — must b e a Stat e
or EPA r e quir e d program to receiv e points on the
rating sh ee t;
Primary Clarifi e rs. — Th e fir s t se ttling tanks through
which wastewat e r is pass e d in a tr e atm e nt works for
th e purpose of removing s e ttl e abl e and s usp e nd e d
solids and BOD which is associat e d with th e solids;
Pumps. All influ e nt, e fflu e nt and in plant pumps;
Radiation. Disinf e ction or st e rilization proc e s s
utilizing devices e mitting ultraviol e t or gamma ray s ;
(44) Sludg e Dig e stion. Th e proc e s s by which organic or
volatil e matt e r and sludg e is gasifi e d, liqu e fi e d,
min e raliz e d or conv e rt e d into more stable organic
matt e r through th e activity of living organisms, which
includ e s a e rat e d holding tanks;
-the — wast e wat e r (45-) Sludg e Drying Bods. An area comprising natural or
artificial lay e rs of porou s mat e rials upon which
<4^ R e v e rs e O s mosi s . — A tr e atm e nt proc e ss in which a
h e avy contaminat e d liquid is pressuriz e d through a
m e mbran e forming n e arly pur e liquid fr ee from
su s p e nd e d solids;
(5^ Rotating Biological Contractors. A fix e d biological
growth proc es s in which wa s tewater flows through
tank s in which a s e ri e s of partially s ubm e rg e d circular
dig e st e d s e wag e sludg e is dri e d by drainag e and
e vaporation;
(46) Sludge Elutriation. A proc e ss of sludg e conditioning
m — which — c e rtain — constitu e nt s — are — r e moved — by
succ es siv e washings with fr e sh wat e r or plant e fflu e nt;
(4^ Sludg e Gas Utilization. Th e proc e ss of u s ing sewage
gas for th e purpos e of heating building s , driving
e ngin e s, etc.;
(484 Sludg e Holding Tank (A e rat e d and Nona e rat e d). A
tan]< utiliz e d for s mall wa s t e wat e r tr e atm e nt plants not
containing a dig e st e r in which sludg e may be kept
fr e sh, and sup e rnatant withdrawn prior to a drying
m e thod (i. e . sludg e drying b e d s ); This may b e don e
by adding a small amount of air simply to k ee p th e
sludg e fr e sh, but not n e c e ssarily an amount that would
b e r e quired to achiev e stabilization of organic matter.
A nona e rat e d tank would simply b e u se d to d e cant
sludg e prior to d e wat e ring and would not allow long
periods (several days of detention) without r e sulting
odor probl e ms;
Sludg e Incin e rators. — A furnac e d es ign e d to bum
sludg e and to r e move all moistur e and combustibl e
mat e rials and r e duc e th e sludg e to a s terile ash;
Sludg e Stabilization (Ch e mical or Th e rmal). — A
proc e ss to mak e tr e at e d sludg e l e ss odorous and
putr es cibl e . and to r e duc e th e pathog e nic organism
cont e nt; This may b e don e by pH adjustm e nt, chlorin e
do s ing, or by h e at tr e atm e nt;
Sludg e Thick e n e r. A type of sedim e ntation tank in
which th e sludg e i s p e rmitt e d to se ttl e and thicken
through agitation and gravity;
Stabilization Lagoon. A typ e of oxidation lagoon in
which biological oxidation of organic matt e r is
e ffect e d by natural transf e r of oxyg e n to th e wat e r
from air (not a polishing pond);
Stand By Pow e r Supply. On site or portabl e e l e ctrical
g e n e rating e quipm e nt;
Static Screens. — A stationary scr ee n d e sign e d to
r e mov e s olids. including non biod e gradabl e
particulat e (floatabl e solids, suspend e d solids and
BOD reduction) — from municipal — and — industrial
wast e water treatm e nt syst e ms;
stabilization proc e ss wh e r e th e activat e d sludg e i s (^^ T e rtiary Tr e atm e nt. A stag e of tr e atm e nt following
s urfac es ar e rotat e d;
Sand Filt e rs:
Intermitt e nt — Biological. Filtration of e fflu e nt
following septic tanks, lagoons, or som e oth e r
tr e atm e nt proc e ss in which further biodecomposition
is exp e ct e d to produc e d e sir e d e fflu e nts: Hydraulic
loading rat e s on th e s e filters are comput e d in gpd^ac
and hav e a r e sulting low gpnv s f (l e ss than on e );
(b) R e circulating biological ■ th e sam e typ e of sand
filt e r a s d e fin e d in Subparagraph (39) (a) of this
Rul e with th e add e d capability to r e cycl e e fflu e nt
back through the sand filt e r:
Sand or Mix e d M e dia Filt e rs. A polishing proc e ss by
which e fflu e nt limits ar e achi e v e d through a furth e r
r e duction of susp e nd e d solids:
low rat e gravity, hydraulically load e d filt e r with
loading rat e s in th e on e to thr ee gpm sf rang e ;
(b) high rat e a pr ess ur e , hydraulically load e d filt e r
vs'ith loading rates in th e fiv e gpm/sf rang e ; At an\
rat e , th e loading rat e will e xc ee d thr ee gpm/sf;
(44) S e condary Clarifi e r s . — A tank which follows th e
biological unit of a tr e atm e nt plant and which has th e
purpos e of r e moving sludg e s associat e d with th e
biological tr e atm e nt units;
(45) S e parat e Sludg e R e a e ration. — A part of th e contact
(^
(#3)
(^
(54)
transf e rr e d to a tank and a e rat e d b e for e r e turning it to
th e contact basin;
(4^ S e ptic Tank. — A singl e story se ttling tank in which
s e condary which is primarily for th e purpos e of
e fflu e nt polishing; A s e ttling lagoon or sand or coal
fllt e r might b e e mploy e d for this purpos e ;
se ttl e d sludg e i s in contact with th e wa s t e wat e r (5^ Th e rmal — Pollution — Control — D e vic e . 7"^ — d e vic e
flow ing through th e tank: shall not b e applicabl e for
s e ptic tank syst e ms s e rving singl e family r e sidenc e s
having capacity of 2.000 gallons or l e ss which
discharg e to a nitrification field;
providing for th e transf e r of h e at from a fluid flow ing
in tub e s to another fluid outsid e the tubes, or vic e
v e r s a; — of-, — oth e r — means — e^ — r e gulating — liquid
t e mp e ratur e s:
22(1
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
Th e rmal Sludg e Condition e r. A conditioning proc e ss
by which h e at is added for a protract e d p e riod of tim e
no additional wast e wat e r tr e atment classification will be
required. Wastewat e r treatm e nt in e xc e ss of th e se compon e nts
to improve th e d e wat e rabilit>' of sludg e by th e will b e subj e ct to rating as a wastewater tr e atm e nt facility under
solubilizing and hydraulizing of th e smaller and mor e
highly hydrat e d sludge particl e s;
Rul e .0002(b) of this S e ction. All syst e ms that ar e r e quir e d to
hav e only a c e rtifi e d sub s urfac e op e rator und e r 1 5 A NCAC 1 8 A
^%%) Toxic Mat e rials. — Thos e wast e s or combinations of .1961 shall be deem e d cla s sifi e d as s ubsurfac e syst e ms. Any
wast e s, including dis e as e cau s ing ag e nt s which aft e r subsurfac e syst e m that has a wastewater tr e atm e nt facility
discharg e and upon e xposur e , ing e stion, inhalation or r e quir e d to b e classifi e d und e r 15A NCAC 8 C .0002 and any
assimilation into any organism, e ith e r dir e ctly from th e s ub s urfac e sy s t e m pr e viou s ly classifi e d by th e Commi s sion, will
e nvironm e nt or indir e ctly by ing e stion through food r e c e iv e notification of th e classification or r e classification from
chains. — wiH — caus e — d e ath, — di se a se , — b e havioral th e Commission-
abnormaliti e s, canc e r, g e n e tic mutations, physiological
malfiinctions (including malfunctions in reproduction) Authority G.S. 90A-37.
or physical d e formation s , in such organisms or th e ir
offspring: — Toxic materials includ e , by way of
illu s tration and not limitation: l e ad, cadmium.
chromium. — m e rcury. — vanadium. — ars e nic. — zine^
ortho nitro chlorob e nz e n e (ONCB). polychlorinat e d r e sidual s , biosolids or contaminat e d soil (on a d e signat e d sit e ).
.0006
CLASSIFICATION OF LAND
APPLICATION SYSTEMS
Faciliti e s p e rmitt e d for th e land application of sludg e .
(PCBs) and dichlorodiph e nyl s hall b e clas s ifi e d as land application syst e ms and will be
r e quir e d to hav e an op e rator in r e sponsibl e charg e who
po ssesse s a c e rtificat e in land application/r e siduals op e ration.
Authority G.S. 90A-37.
CLASSIFICATION OF COLLECTION
SYSTEMS
aefe: — A low rat e trickling filt e r is on e which is Coll e ction syst e ms that ar e op e rat e d in conjunction with
biph e nyb
trichloro e thane (DDT): and any oth e r mat e rials that
have or may h e r e aft e r b e d e t e rmin e d to hav e toxic
properti e s :
Trickling Filt e r. A biological tr e atm e nt unit consisting
of a mat e rial such as brok e n ston e or rock ov e r which
wast e wat e r is distribut e d: A high rat e trickling filt e r .0007
is on e which is op e rat e d at b e tw ee n 10 and 30 mgd p e r
d e sign e d to op e rat e at on e to four mgd p e r acr e :
wast e wat e r tr e atm e nt faciliti e s p e rmitt e d to municipaliti e s.
(60) Trickling Filt e r (Pack e d Tow e r). A plug flow typ e of r e gional faciliti e s or wat e r and s e w e r authoriti e s, public utiliti e s,
op e ration in which wast e wat e r flows down through stat e own e d faciliti e s that ar e Class MI or Class IV and f e d e rally
succ e ssiv e lay e rs of m e dia or flltrat e mat e rial: ov\Ti e d faciliti e s that ar e Class 11. Class HI or Class IV will b e
Organic mat e rial is r e mov e d continually by th e activ e subj e ct to rating as a coll e ction syst e m. — Any collection syst e m,
biological Fix e d growth in e ach successiv e layer. This regardl e ss of ownership, may be classifi e d as a collection syst e m
m e thod may produc e "s e condary" quality e fflu e nt, or and will b e required to designat e an op e rator in r e sponsibl e
may b e adapted to produc e a nitrifi e d e fflu e nt:
charg e , in th e e v e nt that the Commission or its d e signees identify'
(4+) Vacuum — Filt e rs, — C e ntrifug e s, — er — Fi l t e r — Presses. th e failur e to prop e rly op e rate or maintain the system. Th e
D e vic e s which ar e d e sign e d to r e mov e e xc e s s wat e r
from eith e r dig es t e d or undig e st e d s ludg e prior to
disposal or furth e r tr e atm e nt.
Authority G.S. 90A-37.
.0005 CLASSIFICATION OF SUBSURFACE
TREATMENT AND DISPOSAL SYSTEMS
Faciliti e s which utiliz e s ubsurfac e tr e atm e nt and disposal of
wast e wat e r s hall b e classifi e d as subsurfac e syst e ms. — AH
subsurfac e s yst e ms p e rmitt e d und e r rul e s adopt e d by th e
Environm e ntal Manag e m e nt Commission and thos e subsurfac e
syst e ms p e rmitted und e r rul e s adopt e d by th e Commission for
H e alth S e rvices, which r e quir e a c e rtified op e rator, shall be
op e rat e d by an op e rator in r e sponsibl e charg e who poss e ss e s a
c e rtificat e in subsurfac e sy s t e m op e ration. Conv e ntional septic
tank syst e ms, consisting of only a s e ptic tank and nitrification
field without pump s or other appurt e nanc e s, will not b e subj e ct
to th e provisions of this Section. — If th e subsurfac e syst e m
consists of se ptic tanks, pump tank s , s iphon or pump dosing
syst e ms, s and filt e rs, gr e as e traps or gr e as e int e rc e ptors, or
oil/wat e r s e parators and subsurface di s posal of th e wast e wat e r.
following rating s yst e m will b e us e d to det e rmine the
clas s ification of coll e ction sy s t e m s .
(4) th e coll e ction syst e m will b e as s igned the s ame
classification as th e curr e nt rating of th e wa s t e wat e r
tr e atm e nt facility to which th e coll e ction s yst e m i s
tributary: or
the — coll e ction — syst e m — w+W — be — as s ign e d — the
^
(^
classification bas e d on th e population se rv e d by th e
coll e ction — syst e m as follow s , which e v e r would
provid e th e low e r classification: In th e e v e nt that th e
population — s e r\' e d — cannot — be — d e t e rmin e d. — the
e quivalent population s e rv e d will b e calculat e d, u s ing
the d e sign flow of th e tr e atm e nt plant and a flow of 95
gallons p e r day per person.
Population of 1 500 or l e ss Class I
Population of 1501 15,000 Class 11
Population of 15,001 50.000 Cla s s 111
Population of 50.000 or mor e Cla s s IV
Upon classification, th e Commi s sion may es tablish a
dat e , by which, th e p e rmitt ee must d e signat e an
op e rator of th e appropriat e grade to op e rat e th e
coll e ction s y s t e m.
13:2
NORTH CAROLINA REGISTER
July 15, 1998
221
PROPOSED RULES
Authority G.S.90A-37.
.0008 CLASSIFICATION OF SPRAY IRRIGATION
SYSTEMS
Faciliti e s which utilize th e spray irrigation of wast e wat e r s hall
bo classifi e d as s pray irrigation syst e m s . If th e spray irrigation
syst e m consists only of preliminary tr e atm e nt, lagoons, s e ptic
tanks, pump tanks, pumps, gr e as e traps or gr e as e int e rc e ptor s ,
oil/water se parators, sand filt e rs, disinf e ction, and ch e mical
treatment for nutri e nt or alga e control and the spray irrigation of .0005
the wastewat e r, no additional wast e water tr e atm e nt classification
will b e requir e d. — Wast e wat e r tr e atment in e xc e ss of those
compon e nts, will b e s ubj e ct to rating und e r Rul e .0002(b) of this
S e ction.
r e primand shall b e d e liver e d p e rsonally or by c e rtifi e d mail. A
copy of th e l e tt e r will b e kept in the op e rator's fil e and a copy
will b e s e nt to th e op e rator's e mploy e r. Th e op e rator will be
giv e n th e opportunity to put a l e tter of r e buttal into th e file when
a r e primand has b ee n issu e d.
Authority G.S. 90A-41: I43B-300: 150B-3; 150B-23; 150B-38:
150B-52.
NOTIFICATION TO ENVIRONMENTAL
MANAGEMENT COMMISSION
Th e Commission shall notify' th e Environm e ntal Manag e m e nt
Commis s ion of th e failur e of an ovsn e r of a water pollution
control syst e m to provid e a c e rtifi e d op e rator or of th e
r e vocation or r e linquishm e nt of th e c e rtificat e of any op e rator.
Authority G.S. 90A-35: 90A-43; 143B-300.
.0006 RECERTIFICATION FOLLOWING
REVOCATION OR RELINQUISHMENT
{&) Aft e r r e vocation or r e linqui s hm e nt has been effectiv e for
Th e C e rtification Commission shall clas s ify' wat e r pollution a p e riod of not l ess than 270 days, a p e r s on ma>' apply in writing
for r e c e rtification by th e Commi s sion, including in his p e tition
any r e l e vant facts conc e rning chang e s to conditions under which
revocation or r e linquishm e nt occurr e d. Such facts shall s how
cl e arly that applicant will comply with th e laws and r e gulations.
{b) Within 120 days following r e c e ipt of an application for
r e c e rtification. th e Commission will notifi' th e applicant by l e tt e r
of its d e ci s ion to d e ny or grant e xamination e ligibility in
Authority G.S. 90.4-37.
SUBCHAPTER 8D - POWERS AND ENFORCEMENT
.0002 CLASSIFICATION OF WATER
POLLUTION CONTROL SYSTEMS
control systems in accordanc e with th e rating sy s t e m se t out in
Subchapt e r 8 C of this Titl e .
Authority G.S. 90.4-35: 90.4-3'': 90.4-43: 90.4-44: I50B-23.
.0004 REVOCATION, RELINQUISHMENT OR
INVALIDATION OF CERTIFICATION
(a) Th e C e rtification Commission may r e vok e or su s p e nd th e accordanc e with proc e dur e s s e t out — 15A NCAC 8B .0102.
certification of an op e rator in accordanc e with th e provisions of Additional e ligibility requir e m e nts including a show caus e
G.S. QOA 4 1. — Prior to th e Commis s ion' s taking action on a conf e r e nc e may b e impo se d by th e Commission as it d e em
KJ.u. > yji I r 1 . 1 I ]ui — nj till- ^_ vjiiiim jjiuu .3 Lulling. a^.injii wii u v.\Jiii\-i V.L11.V. iiiu v C7^ iiii[juj^u uv ink. i^uiiiiiiijjiuii uj 11 Lj^.^iii.3
propos e d r e vocation or susp e nsion, th e op e rator shall b e giv e n appropriat e . — Eligibility will only b e grant e d if th e r e i s
an opportunity to submit a writt e n stat e m e nt and pr e s e nt oral substantial e vid e nc e that th e conditions l e ading to th e r e vocation
argum e nt b e for e th e Commis s ion at a r e gularly s ch e dul e d or r e linquishm e nt hav e b ee n corr e ct e d.
m ee ting. Notic e of th e m ee ting s hall b e d e liv e r e d p e rsonally or
b\ c e rtifi e d mail at l e ast 15 days prior to th e m ee ting.
(€-) R e c e rtification of a p e rson as a wast e wat e r tr e atm e nt plant
op e rator shall — only occur by m e ans of application and
{b^ Notic e of th e r e vocation or susp e nsion shall b e d e liv e r e d e xamination. — The examination s will not b e waiv e d. — The
to th e op e rator p e rsonally or by c e rtifi e d mail at l e ast 20 da> s
applicant s hall m ee t th e e ligibility r e quirements set forth in 15A
3£
prior to th e e ff e ctiv e dat e of th e r e vocation or susp e nsion. Th e NCAC 8 B .0200 b e ginning with 15A NCAC 8 B .0201 e xc e pt
that applicant shall not b e eligibl e for 15A NCAC 8 B .0206.
Op e rational e xp e ri e nc e prior to revocation or r e linquishm e nt
notic e shall contain th e all e g e d facts or conduct upon which th e
r e vocation or susp e nsion i s bas e d and shall inform th e op e rator
of th e opportunit\' to cont e st th e action. Th e proc e dur e s to b e
follow e d shall b e a s s p e cifi e d in 15A NCAC 8 A .0302.
(e) C e rtification may b e r e linquish e d by submi s sion to th e
C e rtification Commis s ion of th e original c e rtificat e and a
notariz e d s tat e m e nt of r e linqui s hm e nt.
{4) Th e C e rtification Commission may invalidat e th e
c e rtification of an op e rator for nonpaym e nt of the annual
r e n e wal f ee in accordanc e with G.S. QOA 4 0. — Notic e of thi s
action shall b e d e liv e r e d by c e rtifi e d mail or p e rsonal se r\'ic e at
l e ast 30 day s prior to th e e ff e ctiv e dat e of th e invalidation. If th e
appropriat e r e n e wal f ee s and th e r e quir e d lat e f ee s ar e r e c e iv e d
within thi s p e riod, th e c e rtificat e will r e main activ e . In ord e r for
a c e rtificat e to b e r e validat e d, the appropriate r e n e wal f ee s and
lat e f ee s must b e paid.
fe) Th e C e rtification Commission may issu e a writt e n
r e primand to an op e rator in accordanc e with G.S. QOA 4 0. Th e
will not apply as e ligibility for futur e r e c e rtification. Applicant
shall not b e e ligibl e for t e mporary' c e rtification und e r 15A
NCAC 8 8 .0 4 4 .
fd^ Upon notification of th e Commission's d e cision to d e n>'
e ligibility, th e applicant ma>' app e al th e d e cision pursuant to th e
proc e dur e s contain e d in Articl e 3 A of Chapt e r 150B of th e
G e n e ral Statut e s.
.4uthority G.S 90.4-39: 150B-3: 150B-38.
CHAPTER 8 - WATER POLLUTION
CONTROL SYSTEM OPERATORS
CERTIFICATION COMMISSION
SUBCHAPTER 8G - AUTHORITY: ORGANIZATION:
STRUCTURE: DEFINITIONS AND HEARING
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PROPOSED RULES
PROCEDURES
SECTION .0100 - GENERAL PURPOSE AND
DEFINITIONS
.0101 PURPOSE
The purpose of these Rules is to:
(1) protect the public health of the citizens of the State;
(2) conserve, protect, and maintain the quality of the
water resources of the State as assigned by the North
Carolina Environmental Management Commission:
(3) protect the public investment in water pollution
control systems;
(4) provide for the classification of water pollution
control systems; and
(5) establish the procedures for the examination and
certification of operators of water pollution control
systems.
Authority- G.S. 90.
.0102 DEFINITIONS
(a) "Activated sludge" shall mean a biological wastewater
treatment process in which predominantly biodegradable
pollutants in wastewater are absorbed, or adsorbed, by living
aerobic organisms and bacteria in an aerated suspension which
is separated from the treated wastewater gravimetrically.
(b) "Actual experience" shall mean the time working as a
water pollution control system operator or operator in
responsible charge. An operator is an individual whose principal
job responsibility is the actual physical operation of process
equipment and systems at a water pollution control system. The
term does not apply to persons who have primary job
responsibilities such as laboratory testing, facility and equipment
maintenance, administrative support, or direct, or indirect,
supervision.
(c) "Approved training" shall mean any training, required in
order to be eligible for an examination or to meet continuing
education requirements, that has been approved by the
Commission.
(d) "Back-up ORC" shall mean Back-up Operator in
Responsible Charge and refers to the operator who is designated
to act as surrogate for the Operator in Responsible Charge
(ORC) when the ORC is absent from their professional duties as
set forth in G.S. 90A-44.
(e) "Basic sciences" shall mean courses in agronomy, biology,
botany, chemistry, engineering, environmental health and
sciences, geology, math, physics, soil science, and zoology
offered by an accredited college or university.
(f) "Chemical process" shall mean a water pollution control
system process consisting exclusively of the addition of
chemicals to treat wastewaters and typically consisting of a three
phase process involving coagulation, flocculation. and
liquid/solids separation.
(g) "Collection system" shall mean a continuous connection
of pipelines, conduits, pumping stations and other related
constructions or devices used to conduct wastewater to a water
pollution control system.
(h) "Commission" shall mean the Water Pollution Control
System Operators Certification Commission created by G.S.
143B-300.
£i} "Contract operations firm" shall mean any commercial
water pollution control system operations firm which contracts
with the oyvner of a water pollution control system to provide
operational and other services for the system pursuant to G.S.
90A-45(a).
{jj "Contract operator" shall mean any certified water
pollution control system operator who contracts with the oyvner
of a water pollution control system to provide operational and
other services for the system pursuant to G.S. 90A-45(a).
(k) "Currently valid certificate" shall mean the certificate of
an operator that has all required renewal fees paid, all required
continuing education training completed, and has not been
revoked, relinquished, invalidated, or suspended.
£1} "Electrodialvsis system" shall mean a system utilizing a
selective separation of dissolved solids process that is based on
electrical charge and diffusion through a semipermeable
membrane.
(m) "Fixed groyvth" shall mean a biological wastewater
treatment system in which the wastewater is treated by contact
with a biological groyvth that is affixed to support media and
includes systems such as trickling filters, rotating biological
contactors, and biological tower treatment systems.
(n) "GED" shall mean general educational development in
reference to a high school diploma equivalency.
(o) "Nonbiological" shall mean a process which utilizes
physical and/or chemical processes to treat wastewater but does
not include any biological processes.
(p) "ORC" shall mean the individual designated by a person,
firm, or corporation (municipal or private) owning or having
control of a water pollution control system zs tlie operator of
record of frie water pollution control system and who has
primary responsibility for the operation of such system as
defined in G.S. 90A-46.
(q) "Owner" shall mean the person, firm, or corporation
(municipal or private) owning or having control of a water
pollution control system as described in G.S. 90A-44.
(r) "Passing score" shall mean earning 70 percent of the
available points on an examination administered by the
Commission.
(s) "Permanent certificate" shall mean the certificate of
competency issued by the Commission to an individual as the
result of frie individual obtaining a passing score on an
examination administered by the Commission, or a certificate
issued by reciprocity agreement by the Commission, and is
subject to the provisions of G.S. 90A-40(a).
(t) "Physical process" shall mean any water pollution control
system process consisting of gravimetric sedimentation, flotation
and/or filtration as the means of treatment.
(u) "Reciprocity certificate" shall mean a certificate issued of
the appropriate type and grade without examination to any
person who is properly registered on the "National Association
of Boards of Certification "Reciprocity Register and who meets
all other requirements of these Rules as set forth in G.S. 90 A-
40(b).
(v) "Regional office" shall mean one of the seven local
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223
PROPOSED RULES
offices of the Division of Water Quality located across the State.
(w) "Residuals" shall mean any solid or semisolid byproduct
that is produced by the treatment of wastewater in a water
pollution control system.
(x) "Reverse osmosis s\'stem" shall mean a system which
utilizes solutions and semipermeable membranes to separate and
treat wastewaters.
(\) "Satisfactory completion" shall mean the attendance of at
least 80 percent of the approved training.
(z) "Temporal^ certificate" shall mean a certificate issued of
an appropriate npe and grade, without examination, to any
person emploN'ed as a water pollution control system operator
when the Commission finds that the suppK' of certified
operators, or persons with the training and experience necessary
for certification, is inadequate and the situation meets the
requirements set forth in G.S. 90A-40(e).
(aa) "Ultrafiltration system" shall mean a system which
utilizes a membrane filter process to remove pollutants from
wastewater.
(bb) "Water pollution control system" shall mean any system
for the collection, treatment, or disposal of wastewater and is
classified under the provisions of G.S. 90A-37.
Authority- G.S. 90.
SECTION .0200 - DUTIES AND
RESPONSIBILITIES
(a) The owner of a water pollution control system permitted
by the Environmental Management Commission must:
(1) designate one Operator in Responsible Charge (ORC)
and one Back-up Operator in Responsible Charge
(Back-up ORC) of the appropriate type and grade for
the system as set forth in Rule .0201(a) of this
Section; and
(2) submit a signed letter to thie Commission,
countersigned by the designated certified operators,
designating the ORC and the Back-up ORC:
(A) 60 calendar days prior to wastewater being
introduced into a new, or expanded, system; or
(B) within 120 calendar days following:
tij receiving notification of a change in the
classification of the system requiring the
designation of a new ORC and Back-up
ORC of the proper type and grade; or
(ii) a vacancy in tlie position of ORC or
Back-up ORC.
(b) Upon the vacancy of the ORC position for a system, the
owner of the system must notify' the appropriate regional office
of tlie Division of Water Qualirs' of the vacancy, within 10
working davs. If the 10 day notification was not made in
writing, then within 20 working days of tfie vacancy written
notification must be submitted to the regional office.
Authority- G.S. 90.
.0201 REQUIREMENTS FOR CERTIFIED
OPERATORS
(a) Owners of uater pollution control systems, permitted
under rules adopted by tlTc Environmental Management
Commission, shall designate operators, certified by tlie Water
Pollution Control System Operators Certification Commission
( WPCSOCC). of the appropriate type and grade for the s\'stem.
and, for each s\stem. must designate:
(1) one Operator In Responsible Charge (ORC) who
possesses a currentK" valid certificate of the type and
grade at least equivalent to the t\pe and grade of the
system: and
(2) one Back-up Operator in Responsible Charge (ORC)
who possesses a currentK valid certificate of the type
of tfie SN'stem and no more than one grade less than
the grade of the ssstem. with the exception of single
famiK residential systems \sith a design fiovs of less
than 1.500 gallons perdaw
(b) Ouners of vsater pollution control s\stems permitted
under rules adopted by the Commission for Health Ser\ices. or
a local board of health, shall designate certified water pollution
control s\stem operators of the appropriate type and grade as
specified in Section .0300 of these Rules and in 15A NCAC
ISA .1961. Operators in Responsible Charge (ORCs) of these
systems shall \ isit each s\stem in accordance with Rule .0204 of
this Section.
Authority G.S. 90.
.0202 RESPONSIBILITIES OF SYSTEM OWNERS
.0203 RESPONSIBILITIES OF CERTIFIED
OPERATORS
Certified operators shall:
( 1 ) comply with all terms and conditions of their
certification as set forth in these Rules; and
(2) notify' the Commission, in wTiting. within 30 davs of
any changes in their mailing address; and
(3) be responsible for the renewal of their certification(s)
as specified in Section .0700 of this Subchapter; and
(4) comply with all statutes and rules regarding the
operation of water pollution control systems.
Authority- G.S. 90.
.0204 RESPONSIBILITIES OF AN OPERATOR IN
RESPONSIBLE CHARGE (ORC)
An ORC of a water pollution control SNStem must:
(1) possess a currentK valid certificate of the appropriate
type and grade for the system; and
(2) visit the system as often as is necessary to insure the
proper operation of tlie system but in no case less
frequently than specified in the following schedule:
(a) biological grade I ssstems; weekly.
(b} biological grade LL HI. and IV systems, other
than those systems specified in Rule .0204(g)
of tins Section; 5 da\s per week, excluding
holida\s.
(c) spra\ irrigation systems other than single
family residential s\ stems; within 24 hours of
the application of wastewater.
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PROPOSED RULES
(d) land application of residuals systems; within
48 hours of application of residuals.
(e) collection systems; within 24 hours of a
bypass. spilK or overflow of wastewater from
the system.
£f) single-family residential systems; twice per
year with a six month interval between visits.
(g) single-family residential aerobic treatment
units (ATUs) with a treatment capacity of 1 500
gallons per day or less; weekly,
(h) subsurface systems; as required by 1 5 A NCAC
18A.I96I.
£ij nonbiological systems:
£i} grade I systems, including, groundwater
remediation systems; weekly
(ii) grade II systems; daily.
{jj nonconventional systems; as specified by the
Commission based on the complexity of the
system; and
(3) operate and maintain the system efficiently and
attempt to insure the compliance of the system with
any permit(s) issued for the system as well as any
other applicable local, state, and federal
environmental permitting and regulatory
requirements; and
(4) certify, by signature, as to the validity of aH
monitoring and reporting information performed on
the system as prescribed in any permit issued for the
system; and
(5) document the operation, maintenance, and all
visitation of the system jn a daily log that shall be
maintained at the system; and
(6) notify the owner of the system within 24 hours, and in
writing within five calendar days, of any:
(a) overflows from the system or any treatment
process unit; or
bypasses of the system or any treatment
process unit; or
tb)
I
piece of equipment or treatment process unit
that is malfunctioning in such a way as to
adversely affect effluent quality; and
(7) notify the owner, in writing, of the need for any
system repairs and modifications that may be
necessary to insure the compliance of the system with
all local, state, and federal environmental permitting
and regulatory requirements; and
(8) reside within reasonable proximity to the system in
order to:
(a) be readily available for consultations with the
system owner; and
(b) handle emergency situations; and
(c) provide access to the facility by regulatory
agencies for inspections; and
£d} perform any other related matters which would
necessitate the presence of the ORC; and
(9) be responsible for developing and implementing a
process control monitoring plan, based on the size and
complexity of the system, which js sufficiently
comprehensive to insure the proper operation of the
system. A copy of the plan must be submitted to the
owner of the system and a copy must be maintained
on-site for review by regulatory personnel during
inspections of the system.
Authority G.S. 90.
.0205 RESPONSIBILITIES OF A BACK-UP
OPERATOR IN RESPONSIBLE CHARGE
(BACK-UP ORC)
A Back-up ORC:
(1) may act as surrogate for the ORC. if they possess a
currently valid certificate of the appropriate type and
grade for the system, for a period not to exceed 1 20
consecutive days when the ORC is absent due to:
(a) the resignation of the ORC; or
(b) personal or familial illness; or
(c) vacation; or
(d) nonwork related leave such as civil leave,
educational leave, or worker's compensation
leave; or
(e) work related leave such as Commission-
approved training, regulatory agency meetings.
or professional association meetings.
(2) must fulfill all of the requirements of Rule .0204 of
this Section when acting as surrogate for the ORC.
Authority G.S. 90.
SECTION .0300 - CLASSIFICATION OF WATER
POLLUTION CONTROL SYSTEMS
.0301 APPLICABILITY
(a) The purpose of this Section is to establish procedures for
the classification of water pollution control systems.
£b) Not withstanding the requirements in Rules .0302 through
.0307 of this Section, the Commission may modify the grade of
a water pollution control system when:
(1) special conditions created by system design features.
or inherent operational requirements, exist which
make normal operation of the system more complex;
21
(2) upgrades or other modifications to a system are
completed; or
(3) changes in Commission classification rules are made.
(cj In-plant processes, and related water pollution control
equipment which are integral parts of direct industrial
production, shall not be considered water pollution control
systems for the purpose of this Section.
Authority G.S. 90.
.0302 CLASSIFICATION OF BIOLOGICAL
WATER POLLUTION CONTROL
TREATMENT SYSTEMS
(a) The following discharging systems shall be assigned a
classification of Grade i Biological Water Pollution Control
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225
PROPOSED RULES
System unless the permitted flow, or operational complexity of
the s\'stem. is sufficient to warrant special consideration bv the
Commission:
( 1) septic tank/sand filter systems;
(2) biological lagoon systems;
(3) constructed wetlands consisting of a septic tank, sand
filter, wetland cells, disinfection, and assorted
appurtenances.
(b) Systems that utilize an activated sludge or fixed growth
process with a permitted flow less than 0.5 million gallons p er
day (mgd) shall be assigned the classification of Grade II
Biological Water Pollution Control System.
(c) Systems utilizing an activated sludge or fixed growth
process with permitted flows of 0.5 through 2.5 million gallons
per day (mgd) shall be assigned the classification of Grade 111
Biological Water Pollution Control System.
(d) Systems utilizing an activated sludge or fixed growth
process with a permitted flow greater than 2.5 million gallons
per day (mgd) shall be assigned a classification of Grade IV
Biological Water Pollution Control System.
(e) Any system receiving a classification of Grade II
Biological Water Pollution Control System pursuant to
Paragraph (b) of this Rule, that is required to achieve biological
nutrient reduction, shall be assigned the classification of Grade
III Biological Water Pollution Control System.
(f) An\' system receiving a classification of Grade III
Biological Water Pollution Control System pursuant to
Paragraph (c) of this Rule, that is required to achieve biological
nutrient reduction, shall be assigned the classification of Grade
IV Biological Water Pollution Control System.
Author in- G.S. 90.
In the event that the population served cannot be
determined, the equivalent population served shall be
calculated by using the design flow of the system
divided bv a flow of 95 gallons per day p er person.
Authority G.S. 90.
.0304
CLASSIFICATION OF SPRAY
IRRIGATION WATER POLLUTION
CONTROL SYSTEMS
(a) Systems which utilize spray irrigation for the reuse or
disposal of wastewater shall be classified as spray irrigation
water pollution control systems. Those systems which contain
only preliminary treatment processes such as septic tanks, sand
filters, oil/water separators, lagoons, storage basins, physical
screening, or sedimentation processes shall not be subject to
additional operator requirements as specified in Rules .0302 or
.0306 of this Section.
(b) Any spra\ irrigation system that has, as part of jts
treatment process, systems other than those specified in
Paragraph (a) of this Rule, shall be subject to additional
classification as is deemed necessary by the Commission.
Authority G.S. 90.
.0305 CLASSIFICATION OF LAND APPLICATION
OF RESIDUALS SYSTEMS
Systems permitted and dedicated for the land application of:
(1) residuals that are produced by a water pollution
control system; or
(2) contaminated soils;
shall be classified as a land application of residuals system.
.0303 CLASSIFICATION OF WATER POLLUTION
CONTROL COLLECTION SYSTEMS
(a) Water pollution control collection systems operated to
convey wastewater to water pollution control s\ stems which are
permitted or tributary to municipalities, regional water pollution
control systems, water and sewer authorities, public utilities, or
are a Grade II. Ill or IV state or federally owned system, shall be
subject to classification in accordance with Rule ■0303(b) of this
Section. Any collection system, regardless of ownership, mav
be classified and required to designate an ORC and a Back-up
ORC if the Commission determines that the system is not being
operated and maintained in a proper manner yvhich prevents the
escape of wastewater from the system into the environment.
(b) Collection systems shall be assigned a classification that
in
(1) the same as the grade of the biological water pollution
control system to which the collection system is
tributary ; or
(2) based on the population served by the collection
system in accordance with the following chart,
whichever provides the lower grade:
(A) 1.500 or less Grade 1;
{B} 1.501 to 15,000 Grade II;
IQ 15,001 to 50,000 Grade III;
(D) 50,001 or more Grade IV.
Authority G.S 90.
.0306 CLASSIFICATION OF NONBIOLOGICAL
WATER POLLUTION CONTROL
TREATMENT SYSTEMS
(a) Any water pollution control system, including systems
designed for the remediation of contaminated groundwater, that
utilizes an exclusively physical, nonbiological process to treat
wastewaters, with the exception of reverse osmosis,
electrodialysis. and ultrafiltration systems, shall be classified as
a Grade I Nonbiological Water Pollution Control Sy stem.
(b) Any nonbiological water pollution control system that
utilizes a chemical process to treat wastewaters, including those
systems whose treatment processes are augmented by physical
processes, shall be classified as a Grade II Nonbiological Water
Pollution Control Sy stem.
(c) Any nonbiological water pollution control system that has.
as part of its treatment process, a biological water pollution
control system that may be classified under Rule .0302 of this
Section shall be subject to additional classification as a
biological water pollution control system.
Author it}- G.S. 90.
.0307 CLASSIFICATION OF SYSTEMS
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PROPOSED RULES
PERMITTED BY THE COMMISSION
FOR HEALTH SERVICES
(a) Systems which utilize the soils for the on-site treatment
and disposal of wastewater shall be classified as subsurface
water pollution control systems.
(b) Conventional septic tank systems, consisting of only a
septic tank and nitrification field without pumps or other
appurtenances, shall not be subject to classification.
(c) Any subsurface water pollution control system that is
required to have a certified operator under 15A NCAC 18A
. 1 96 1 shall be deemed classified as a subsurface water pollution
control system.
(d) Any subsurface water pollution control system that has as
part of its treatment process a water pollution control system that
may be classified under Rules .0302 through .0307 of this
Section may be subject to additional classification. If the
subsurface system consists only of septic tanks, pump tanks,
siphon or pump dosing systems, sand filters, grease traps or
grease interceptors, or oil/water separators, and subsurface
disposal of the wastewater, no additional classification will be
required.
Authority G.S. 90.
.0308 CLASSIFICATION OF NON
CONVENTIONAL WATER POLLUTION
CONTROL TREATMENT SYSTEMS
The Commission may classify any nonconventional water
pollution control system. A nonconventional water pollution
control system is defined as a water pollution control system that
is receiving wastewater which has distinctly different
characteristics from typical domestic wastewater or is a water
pollution control system which contains treatment processes that
' are sufficiently different from the conventional treatment
processes classified in Rules .0302 through .0306 of this
Section.
Authority' G.S. 90.
SECTION .0400 - ELIGIBILITY REQUIREMENTS
FOR EXAMINATIONS
.0401 GENERAL REQUIREMENTS
(a) An applicant for certification as an operator of any water
pollution control system designed for the collection or treatment
of wastewater must meet the following criteria and possess the
knowledge and abilities listed as they relate to the specific type
of system for which certification is being sought and shall, at a
minimum, include:
(1) a high school diploma or a general educational
development (GED) equivalent;
be at least 1 8 years of age;
a general knowledge of typical wastewater
characteristics and treatment processes; and
the ability to:
(A) read and understand the statutes and rules
which govern water pollution control system
operators and the operation of the type of
£4j
system for which certification is being sought;
(B) perform mathematical calculations required to
operate the system for which certification is
being sought;
(O complete and maintain logs and regulatory
reporting forms required to document the
proper operation of the system; and
(D) a knowledge of the equipment employed in the
operation of the type of system for which
certification is being sought along with the
ability to describe the general maintenance
requirements for such equipment.
(b) An applicant who has failed to achieve a passing score on
a specific type and grade of examination after three consecutive
attempts must:
(1) attend, and satisfactorily complete, an approved
training program of the same type and grade as the
certification being sought; and
(2) provide verification, in the form of a certificate of
completion or other such documentation, of the
satisfactory completion of the required training with
any subsequent application made to the Commission
to sit for the examination.
(c) An applicant for certification shall not have had any
certification revoked by the Commission within the 730 calendar
day period prior to the date of the application for certification.
(d) An applicant for certification shall not be allowed to sit
for any examination offered by the Commission during the
period of a suspension of any certification held by the applicant
with the Commission.
AuthormG.S. 90.
.0402 ELIGIBILITY REQUIREMENTS FOR
BIOLOGICAL WATER POLLUTION
CONTROL SYSTEM OPERATORS
Eligibility for certification as a Biological Water Pollution
Control System Operator shall be based on the following
qualifications:
(1) for Grade \ certification, the applicant must have
successfully completed an approved training school
for Grade 1 Biological Water Pollution Control
System operators.
(2) for Grade II certification, the applicant must:
(a) hold a currently valid North Carolina Grade 1
Biological Water Pollution Control System
Operator certificate; and
(b) have six months of actual experience at a
Grade 11. or higher, biological water pollution
control system; and
(c) have successfully completed an approved
training school for Grade II Biological Water
Pollution Control System operators.
(3) for Grade III certification, the applicant must:
(a) hold a currently valid North Carolina Grade II
Biological Water Pollution Control System
Operator certificate; and
(b) have successfully completed an approved
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227
PROPOSED RULES
training school for Grade 111 Biological Water
Pollution Control System operators; and
(jj have two years of actual experience at a
Grade If, or higher, biological water
pollution control system, or
(ii) be a graduate of a two or four year
college or university' and have taken.
and passed, a minimum of six courses in
the basic sciences and have 18 months
of actual experience at a Grade 1]^ or
higher, biological water pollution
control system.
(4) for Grade IV certification, the applicant must:
(a) hold a currently valid North Carolina Grade III
Biological Water Pollution Control System
Operator certificate; and
(b) have successfully completed an approved
training school for Grade IV Biological Water
Pollution Control System operators; and
(i) have three years of actual experience at
a Grade ITL or higher, biological water
pollution control system, or
(ii) be a graduate of a two or four year
college or university and have taken.
and passed, a minimum of six courses in
the basic sciences and have two years of
actual experience at a Grade III, or
higher, biological water pollution
control system.
Author in- G.S. 90.
.0403 ELIGIBILITY REQUIREMENTS FOR
WATER POLLUTION CONTROL
COLLECTION SYSTEM OPERATORS
Eligibility for certification as a Water Pollution Control
Collection System Operator shall be based on the following
qualifications:
(1) for Grade I certification, the applicant must: have
successfully completed an approved training school
for Grade 1 water pollution control collection s\stem
operators.
(2) for Grade II certification, the applicant must:
(a) hold a currently valid North Carolina Grade I
Water Pollution Control Collection System
Operator certificate; and
(b) have six months of actual experience in water
pollution control collection system operations;
and
(c) have successfully completed an approved
training school for Grade H water pollution
control collection ssstem operators.
(3) for Grade III certification, the applicant must:
(a) hold a currently valid North Carolina Grade II
Water Pollution Control Collection System
Operator certificate; and
(b) have successfully completed an approved
training school for Grade III water pollution
control collection system operators, and
tij have two years of actual experience in
water pollution control collection
system operations, or
(ii) be a graduate of a two or four college or
university and have taken, and passed, a
minimum of six courses in a field
directly related to the construction-
operation, and/or maintenance of a
collection system, e.g. civil, mechanical.
or environmental engineering, and have
one year of actual experience m the
operation of a water pollution control
collection system.
(4) for Grade IV certification, the applicant must:
(a) hold a currently valid North Carolina Grade III
Water Pollution Control Collection System
Operator certificate; and
(b) have successfully completed an approved
training school for Grade 111 water pollution
control collection system operators, and
£ij have three years of actual experience in
water pollution control collection
system operations, or
(ii) be a graduate of a two or four college or
university and have taken, and passed, a
minimum of six courses in a field
directly related to the operation and
maintenance of a collection svstem. e.g.
civil, mechanical, or environmental
engineering, and have two years of
actual experience in the operation of a
water pollution control collection
system.
Author in- G.S. 90.
.0404 ELIGIBILITY REQUIREMENTS FOR LAND
APPLICATION OF RESIDUALS OPERATORS
An applicant for certification as a Land Application of
Residuals Operator shall have satisfactorily completed an
approved land application of residuals operator training school
and:
in
t2J
have one year of actual experience in the land
application of residuals; or
be a graduate of a two or four year college, or
university, and have taken, and passed, a minimum of
six courses in the basic sciences.
Author in- G.S. 90.
.0405
ELIGIBILITY REQUIREMENTS FOR
NONBIOLOGICAL WATER POLLUTION
CONTROL SYSTEM OPERATORS
Eligibilirs for certification as a Nonbiological Water Pollution
Control System Operator shall be based on the following
qualifications:
(1) for the Grade I have successfully completed an
228
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PROPOSED RULES
approved training school for Grade \ Nonbiological
Water Pollution Control System Operators.
£2} for the Grade II:
£a} possess a currently valid Grade I Nonbiological
Water Pollution Control System Operator
certificate; and
(b) have one year of actual experience at a Grade
II Nonbiological Water Pollution Control
System: and
(c) have successfully completed aQ approved
training school for Grade II Nonbiological
Water Pollution Control System Operators.
Authority G.S. 90.
.0406 ELIGIBILITY REQUIREMENTS FOR
SPRAY IRRIGATION WATER POLLUTION
CONTROL SYSTEM OPERATORS
An applicant for certification as a Spray Irrigation Water
Pollution Control System Operator shall have satisfactorily
completed an approved spray irrigation water pollution control
system operator training school and:
(1) have one year of actual experience in the operation of
a spray irrigation water pollution control system; or
(2) be a graduate of a two or four year college or
university and have taken, and passed, a minimum of
six courses in the basic sciences; or
(3) be a private homeowner who intends to operate only
their own domestic spray irrigation water pollution
control system.
Authority G.S. 90.
.0407 ELIGIBILITY REQUIREMENTS FOR
SUBSURFACE WATER POLLUTION
CONTROL SYSTEM OPERATORS
An applicant for certification as a Subsurface Water Pollution
Control System Operator shall have successfully completed an
approved subsurface water pollution control system operator
training school and:
(1) have one year of actual experience in the operation of
a subsurface water pollution control system: or
(2) be a graduate of a two or four year college or
university and have taken, and passed, a minimum of
six courses in the basic sciences; or
(3) be a private homeowner who intends to operate only
their own domestic subsurface water pollution control
system.
Authority G.S. 90.
.0408 ELIGIBILITY REQUIREMENTS FOR
OPERATOR IN TRAINING (OIT)
CERTIFICATION
(a) The Commission may allow an applicant for the biological
water pollution control system operator certificate, or the water
pollution control collection system operator certificate, to take
the examination if the individual has met all of the prerequisite
education and certification requirements but has yet to meet the
actual experience requirement.
(b) Upon achieving a passing score on the examination, the
applicant shall be issued an Operator In Training (OIT)
certificate of the same type and grade as the examination.
(c) The OIT certificate does not qualify the applicant to be
designated as the ORC or Back-Up ORC of a system.
(d) OIT certificates shall be renewed annually as stipulated in
15ANCAC 8G .070I.
Authority G.S. 90.
.0409 ELIGIBILITY REQUIREMENTS FOR
CONDITIONAL WATER POLLUTION
CONTROL SYSTEM OPERATORS
An applicant for certification as a Conditional Water Pollution
Control System Operator must successfully complete an
approved training program for the operation of the water
pollution control system if required by the Commission.
.Authority G.S 90.
SECTION .0500 - CERTIFICATION BY
EXAMINATION
.0501 APPLYING FOR EXAMINATION
(a) All applications for examination submitted to the
Commission must be:
ill
12}
submitted on an approved application form; and
accompanied by the a ppropriate nonrefundable
application fee; and
completed in entirety with all required information,
documentation, and signatures provided; and
postmarked at least 30 days prior to the scheduled
date of the examination.
(b) Upon receipt of an application by the Commission, the
application shall be reviewed for completeness and a
determination as to the eligibility of the applicant to sit for the
requested examination will be made.
(c) Each applicant shall be notified, in writing, of their
eligibility to sit for the requested examination. Individuals
determined to be eligible for an examination shall receive written
notification containing information concerning the date, time and
location of the examination. This written notification shall be
considered a receipt from the Commission to the applicant for
the examination fee. Applicants found to be ineligible for an
examination shall receive written notification of the ineligibility
determination.
(d) Any applicant who obtains certification by supplying false
information to the Commission shall be subject to disciplinary
action(s) as set forth in Section .0800 of this Subchapter.
Authority G.S 90.
.0502 INELIGIBLE APPLICANTS
(a) Any applicant who is found to be ineligible for an
examination shall be notified, in writing, of the ineligibility
determination. Upon receiving notification of the ineligibility
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229
PROPOSED RULES
determination, the applicant may submit additional information
if they feel that the additional information will change their
eligibility for the examination. Additional information submitted
must be receiyed by the Commission at least 15 calendar days
prior to the scheduled date of the examination. After the
additional information is receiyed and reviewed, the applicant
shall be notified, in writing, of the final decision as to their
eligibility for the requested examination.
(b) Upon receiving notification of ineligibility for an
examination, an applicant may request a review of the
ineligibility determination b\ the Commission. Such a request
must be submitted to tlie Commission in writing. Once the
request is received, the applicant shall be notified, by certified
mail, of the date, time, and location of the Commission meeting
at which the ineligibility determination will be reviewed. This
notification shall be sent at least 1 5 days prior to the scheduled
meeting of the Commission. The results of the review of the
ineligibility determination by the Commission shall be submitted
to the applicant in writing and this decision shall be considered
final.
Authority G.S. 90.
.0503 EXAMINATION ADMINISTRATION
(a) The Commission shall set the dates, times, and locations
for all examinations.
(b) Additional examinations may be administered by the
Commission at any time, or at any location, when a sufficient
number of applications have been received to warrant such an
examination.
(c) Each applicant approved for an examination must present
a photographic form of positive identification, such as a North
Carolina driver's license, to the proctor at the examination site
prior to obtaining their examination.
Authority G.S. 90.
.0504 EXAMINATION GRADING
(a) A passing score on any examination administered bv the
Commission is achieved by earning a minimum of 70 percent of
the available points on the examination.
(b) Each applicant, and only the applicant, shall be notified.
in writing, of their results on an examination.
(c) If a passing score is attained by an applicant on an
examination, the written notification to the applicant shall
constitute the certification of the applicant as an operator of a
water pollution control system of the same Upe and grade as the
examination.
.4ut liar it}- G.S. 90.
.0505 EXAMINATION REVIEWS
(a) Any applicant that fails to make a passing score on an
examination ma\' request to review the examination. All requests
to review an examination must be submitted to the Commission
in writing within 15 da\'s of receiving notification of failing to
make a passing score on an examination. Only those applicants
who fail to make a passing score on an examination will be
allowed to review their examination.
(b) Applicants who submit a written request to review an
examination shall be notified of a date, time, and location at
which the applicant shall be given the opportunity to review their
examination. This shall be the only opportunity the applicant
will be allowed for reviewing their examination.
(c) Under no circumstances shall an applicant be allowed to
review their examination within 30 calendar days of an
upcoming examination date.
(d) The Commission shall not review individual examination
questions for the purpose of changing examination scores.
However, questions may be edited for future examinations. If a]
error is found in an examination, the examination shall be
regraded and adjustments made as necessary.
Authorit\- G.S. 90.
SECTION .0600 - CERTIFICATION WITHOUT
EXAMINATION
.0601 RECIPROCITY CERTIFICATION
(a) The Commission may issue certification without
examination to individuals listed on the National Association of
Boards of Certification (ABC) Reciprocity Register who possess
certification of the same type and grade as those certifications
offered bv the Commission.
(b) All requests for reciprocity certification must be submitted
on an approved application form and must be accompanied by
the required nonrefundable fee and proof of listing on the ABC
Reciprocity Register. Upon receipt of a reciprocity certificate
application, a copy of tlie rules which govern certified water
pollution control system operators, along with a copy of a
Commission-approved Statement of Understanding agreement,
shall be forwarded to the applicant. The applicant must return
the signed, notarized Statement of Understanding agreement
verifying that thev have read and are familiar with the rules
which govern certified water pollution control sn stem operators.
(c) A reciprocity certificate shall be issued to the applicant
upon receipt of the notarized Statement of Understanding by the
Commission. Failure to complete and submit a notarized
Statement of Understanding shall result in tlie request for
reciprocity being denied.
(d) Applicants for reciprocity certification shall not have
taken and failed to achieve a passing score on a Commission-
administered examination, of the same type and grade as that for
which reciprocity certification is being requested, within the
previous 24 month period prior to the date of the application for
reciprocity certification.
(e) Applicants who obtain reciprocity certification by
providing false information to the Commission shall be subject
to disciplinar\- action(s) as set forth in Section .0800 of this
Subchapter.
Authority- G.S. 90.
.0602 TEMPORARY CERTIFICATES
(a) Temporary certificates, of any type and grade, mav be
issued by the Commission to the operator of a water pollution
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PROPOSED RULES
control system, for a period not to exceed one year, due to:
(1) the unexpected vacancy of the ORC or the Back-up
ORC; or
(2) the suspension or revocation of the certification of the
ORC or the Baci^-up ORC; or
(3) a change in the classification of the system due to the
completion of an upgrade or expansion, or permit
modification; or
(4) a modification to Commission rules.
(b) Temporary Certificates shall only be issued for the ORC
or the Back-up ORC of the system specified on the application.
(c) All applications for a temporary certificate must:
(1) be submitted by the owner of the system for the
applicant; and
(2) be accompanied by the required nonrefundable fee;
and
(3) include a letter fi'om the owner that contains:
(A) an explanation for the need of a temporary
certificate for the applicant; and
(B) an explanation of all of the efforts that were
made to employ an operator who possessed the
required certification; and
(C) a statement designating the applicant as either
the ORC or Back-up ORC of the system; and
(D) a plan that describes the actions that:
(ij the applicant will pursue jn order to
attempt to obtain permanent certification
during the effective period of the
temporary certificate; and
(ii) the owner of the system will be pursuing
in the event that the applicant fails to
obtain permanent certification during
the effective period of the temporary
certificate.
(d) Applicants for a temporary certificate must:
(1) possess a currently valid certificate, or a currently
valid OIT certificate, of the same type as the system
and that is no more than one grade lower than the
classification of the system when applying as an ORC
and no more than two grades lower than the
classification of the system when applying as a Back-
u p ORC. with the exception of spray irrigation, land
application of residuals, and subsurface systems; or
(2) have a minimum of three months of actual experience
in the operation of the type of system for which a
temporary certificate is being applied if the temporary
certificate js requested for a Grade I biological or
nonbiological water pollution control system; and
(3) be eligible for permanent certification prior to the
expiration date of the temporary certificate; and
(4) not have made three previous unsuccessful attempts to
make a passing score on the same type and grade
examination as the temporary certificate; and
(5) have never relinquished, nor had revoked, any water
pollution control operator certificate issued by the
Commission.
(e) Applicants who obtain a temporary certificate by
providing false information to the Commission shall be subject
to disciplinary action(s) as set forth in Section .0800 of this
Subchapter.
Authority G.S. 90.
.0603 TEMPORARY CERTIFICATE RENEWAL
(a) The Commission may allow the renewal of a temporary
certificate:
(1) if the applicant fails to pass the examination for
permanent certification during the original effective
period of the temporary certificate; or
(2) the owner, desiring to give the applicant additional
opportunities to obtain permanent certification, failed
to employ a certified operator during the original
effective period of the temporary certificate; or
(3) there is a continuing insufficiency in the supp ly of
certified operators of the type and grade needed
within reasonable proximity to the system.
£b} All applications for renewal of a temporary certificate
must:
(1) be submitted by the owner of the system 60 days prior
to the expiration date of the original temporary
certificate; and
(2} be accompanied by the required nonrefundable fee;
and
(3) include a letter fi'om the owner that explains:
(A) the need for renewal of the temporary
certificate; and
(B) the reasons for the failure of the applicant to
obtain permanent certification during the
original effective period of the temporary
certificate; and
(C) the efforts that have been made by the owner to
employ a properly certified operator during the
effective period of the original temporary
certificate; and
(D) the actions that will be taken by:
(jj the applicant in order to obtain
permanent certification during the
effective period of the renewed
temporary certificate; and
(ii) the owner if the applicant does not
obtain permanent certification during
the effective period of the renewed
temporary certificate.
(c) The renewal request shall be denied if the applicant has
failed:
(1) to seek permanent certification by examination during
the original effective period of the temporary
certificate; or
(2) to obtain permanent certification after three
examination attempts during the original effective
period of the temporary certificate.
(d) A temporary certificate may only be renewed once for the
same operator.
(e) Applicants who obtain a temporary certificate renewal by
providing false information to the Commission shall be subject
to disciplinary action(s) as set forth in Section .0800 of this
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231
PROPOSED RULES
Subchapter.
Authorities. 90.
.0604 CONVERSION OF VOLUNTARY
CERTIFICATION TO MANDATORY
CERTIFICATION
(a) Individuals who hold certificates of competency under a
voluntary' certification program, administrated by any
Commission-approved organization, may apply for the
conversion of the voluntars' certificate into a certificate issued by
the Commission once a mandatory certification program of the
same type and grade as the voluntary program has been
established by the Commission.
(b) All applications submitted to the Commission requesting
the conversion of a voluntary certificate to a mandators
certificate must be accompanied by the appropriate
nonrefundable fee and a copy of the voluntaPi' certificate.
.Authority G.S. 90.
SECTION .0700 - RENEWAL OF CERTIFICATION
.0701 REQUIREMENTS
(a) In order to maintain a currently valid certificate, the
certificate must be renewed annually by:
(1) submitting payment of the appropriate required annual
renewal fee, as set forth in G.S. 90A-42. by the end of
the effective yean and
£2} beginning December 31. 2000. and each successive
year, by providing documentation of the completion
of a minimum of 18 contact hours of additional
training approved by the Commission during each
three year period following the year of initial
certification.
(b) Certificates that are not renewed for two consecutive \ ears
shall be considered invalid. In order to renew an invalid
certificate, the operator shall be required to take, and make a
passing score on. an examination of the same t\pe and grade as
the former certificate. In order to qualifs to sit for the
examination, all outstanding renewal fees and penalties that have
accrued since the certificate was last renewed must be paid and
all required continuing education documented.
(c) Renewal notices shall be mailed to each certified operator.
at the last known address for the operator on file with the
Commission. 60 calendar davs prior to the renewal due date.
Failure to receive a renevsal notice does not relieve a certified
operator of the responsibility to renevs their certificate by the
renewal due date.
.Author It}- G.S. 90.
SECTION .0800 - DISCIPLINARY ACTIONS
.0801 GROUNDS FOR DISCIPLINARY ACTIONS
The Commission ma\ take disciplinary actions, in accordance
with Rule .0802 of this Section, against a certified operator for:
( 1) practicing fraud or deception in the performance of
their duties; or
(2) failure to properly use reasonable care or judgment in
the performance of their duties: or
(3) failure to apply their knowledge or ability in the
performance of their duties: or
(4) incompetence or the inability to properly perform their
duties: or
(5) intentionally supplying false information in order to
obtain, or maintain, certification: or
(6) cheating on a certification examination.
Authority G.S. 90.
.0802 DISCIPLINARY ACTIONS
(a) The Commission may revoke, or suspend, the certification
of an operator in accordance with the provisions of G.S. 90A-4 1 .
The Chairman of the Water Pollution Control System Operators
Certification Commission, is delegated the authority to propose
a revocation or suspension.
(b) When disciplinary actions are needed against an operator.
an enforcement committee, which shall consist of. but not be
limited to:
(1) the Chairman of the Water Pollution Control System
Operators Certification Commission: and
(2) two persons appointed bv the Director of the Division
of Water Quality: and
(3) representatives of the agency that has compiled the
information on the operator: and
(4) the Vice Chairman of the Commission: and
(5) the member of the Commission who represents the
type of system at which the operator is employed:
shall be convened to review the information that is submitted on
the operator. The members of the committee will offer guidance
to the Commission Chairman in regards to the proper actions
that should be taken against the operator.
(c) Notice from the Commission Chairman of the proposed
revocation, or suspension, of certification shall be delivered to
the affected operator and the ovsTier of the svstem(s) at which the
operator is employed by certified mail, at the last known address
for the operator on file with the Commission, at least 20 calendar
davs prior to the effective date of the proposed revocation or
suspension. This notice shall contain the alleged facts or
conduct upon which the revocation, or suspension, is based and
shall inform the operator of their right to contest the action. If
the action is not contested, the revocation, or suspension,
becomes a final agency action. If the action is contested, the
procedures to be followed are specified in G.S. 150B of the
Administrative Procedures Act.
(d) The Commission Chairman may issue a written reprimand
to an operator in accordance with G.S. 90A-41 . The reprimand
shall be delivered to the operator by certified mail at the last
known address for the operator on file with the Commission. A
copy of the reprimand shall be kept in the file maintained b\ the
Commission on each certified operator and a copy shall be sent
to the present employer of the operator. An operator who
receives a reprimand shall be given the opportunity' to put a letter
of rebuttal into their Commission file and may contest the
actions taken by the Commission in accordance with the
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NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
procedures specified in G.S. 150B of the Administrative
Procedures Act.
(e) If an applicant is caught cheating on an examination by a
proctor of the examination, the applicant shall be excused from
the examination, the examination shall not be graded, the fee for
the examination shall be forfeited by the applicant, and any other
certification(s) held by the applicant with the Commission will
be subject to revocation as set forth in G.S. 90A-41.
tf) If the Commission determines that an applican t cheated on
an examination after the examination has been graded and
certification has been conveyed to the applicant, the certification
obtained through the examination shall be revoked and any other
certification(s) held by the applicant with the Commission will
be subject to revocation as set forth in G.S. 90A-41.
Authority G.S. 90.
Subchapter. The individual must begin the certification process
at the lowest grade level offered for the type of certification
sought. Operational experience accrued by the individual prior
to the revocation of any previously held certification(s) shall not
be considered when determining the eligibility of the individual
for the examination.
(e) If the Commission denies eligibility for certification to an
individual whose previous certification was revoked, the
individual may appeal the decision in accordance with the
procedures contained in G.S. 150B of the Administrative
Procedures Act.
(f) Applicants for certification who were previously
determined to be ineligible for certification due to intentionally
supplying false information to the Commission must follow the
procedures set forth in Paragraphs (a) through (e) of this Rule in
order to obtain certification.
.0803 CERTIFICATION FOLLOWING
DISCIPLINARY ACTIONS
(a) An individual who has had certification revoked by the
Commission shall petition the Commission for any new
certification sought and may not petition the Commission for
such new certification sooner than 730 calendar days after the
effective date of the revocation. Following the denial of
eligibility for re-certification after relinquishment or revocation.
an operator must wait 365 calendar days before reapplying for
certification. The following information must be included in the
petition for certification:
(1) a written statement explaining the actions that the
individual has taken to correct those problems that
lead to the revocation of the certification previously
held with the Commission; and
(2) a statement that attests to the Commission that, upon
obtaining certification, the individual will comply
with all rules and regulations governing the proper
operation of water pollution control systems.
(b) After submittal of the petition for certification, the
petitioner may be required to appear before the Commission at
a regularly scheduled meeting. The petitioner shall be notified.
by certified mail, of the date, time and location of the meeting at
least 1 5 days prior to the meeting.
(c) Within 120 days following receipt of a petition for
certification, the Commission shall notif\' the individual, in
writing, of its decision to deny or grant examination eligibility in
accordance with the procedures set forth in Section .0500 of this
Subchapter. Eligibility for certification shall only be granted if
there is substantial evidence that those conditions that lead to the
revocation of previous certification held by the petitioner have
been corrected.
(d) Certification of an individual whose previous certification
has been revoked shall only occur by the individual sitting for,
and obtaining a passing score on. an examination. The
examination requirement shall not be waived. Once approval is
granted by the Commission for certification after reviewing the
petition for certification, the individual must submit an
application, accompanied by the appropriate examination fee,
and meet the examination eligibility requirements for the type of
certification being sought as set forth m Section .0400 of this
Authority G.S. 90.
.0804 CONTESTED CASE PROCEDURES
(a) Administrative hearings shall be held in accordance with
G.S. 1 506 and the administrative hearing procedures codified at
15A NCAC IB .0200 et seq.. are hereby incorporated by
reference including any subsequent amendments and additions.
{b} Copies of 15A NCAC IB .0200 may be inspected at the
offices of the Division of Planning and Assessment. 512 North
Salisbury' Street. 8th Floor. Archdale Building. Raleigh. North
Carolina 2761 1. Copies may be obtained at the noted location
or fi'om the Rules Division of the N.C. Office of Administrative
Hearings at a cost determined by those offices.
Author it}' G.S. 90.
SECTION .0900 - CONTRACT OPERATION OF
WATER POLLUTION CONTROL SYSTEMS
.0901 RESPONSIBILITIES OF CONTRACT
OPERATORS AND CONTRACT
OPERATIONS FIRMS
Each contract operator, or contract operations firm, that enters
into a contract with the owner of a water pollution control
system to operate the system must notify the owner, in writing,
within five calendar days of
(1) any change m the designation of the ORC or the
Back-up ORC of the system; or
(2) becoming aware of any situation or problem
(preexisting, anticipated, or otherwise) which may
interfere with the proper operation of the system and
necessitate corrective action by the owner. This
notice shall include the comments and
recommendations of the operator in regards to actions
or measures that should be taken to correct the noted
situation or problem.
Authority G.S 90.
.0902 ANNUAL REPORT
On or before April 1 of each year, each contract operator, or
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July 15, 1998
233
PROPOSED RULES
contract operations Firm, must submit an annual report to the
Commission that includes:
(1 ) the name, street address, mailing address, and
business telephone number of the contract operator, or
contract operations firm: and
(2) the name, address, contact name, and telephone
number of a]] water pollution control s\'stems
operated by the contract operator, or contract
operations firm; and
(3) the name, social security number, certificate t\pe(s)
and grade(s). and certification number(s) of all
certified operators emplo\ed b\ the firm: and
(4) the ORC or Back-up ORC designations for each
operator employed by the firm and the name and
permit number of each system for which each operator
is the ORC or the Back-up ORC: and
(5) the name, street address, mailing address, and
laboraton.'(s)
or contract
(6)
telephone number of the certified
utilized by the contract operator.
operations firm: and
other information as requested by the Commission.
Authority G.S. 90.
SECTION .1000 - RULE MAKING PROCEDURES
AND PETITIONS FOR REGULATORY ACTIVITY
.1001 RULE MAKING PROCEDURES
The Commission incorporates by reference 15A NCAC 8B
.0 1 00 for the purpose of its rule-making procedures.
Authority- G.S. 90.
.1002 PETITIONS FOR REGULATORY ACTIVITY
(a) An\ person(s) desiring to request the adoption,
amendment, or repeal of a rule ma\ make such request in a
petition filed pursuant to G.S 1 50B-20. addressed to the Water
Pollution Control System Operators Certification Commission
and mailed to the Chairman at PO Box 29535. Raleigh. NC
27626-0535. Such petitions shall contain:
(1 ) a draft of the proposed rule or a summan of its intent:
and
(2) reasons for adoption of the proposed rule(s) and the
effect it will ha\e on existing rules and practices: and
(3) the name(s) and address(es) of the petitioner(s).
(b) Petitions shall be placed on the agenda of the next
regularK scheduled meeting of the Commission if received at
least four weeks prior to the meeting. The Chairman shall
prepare recommended responses to petitions for the
Commission's consideration. Petitions shall be considered in
accordance with the requirements of G.S. 150B-20.
Authority G.S. 90.
SECTION .1 100 - ADMINISTRATIVE DUTIES
.1101 REFUNDING OF FEES
When refunding of fees becomes necessarw it will be the
responsibility of the Commission to determine the fees, or
portion of fees, to be refunded in accordance with G.S. 90A-42.
Authority G.S. 90.
.1102 DELEGATION OF AUTHORITY
The Commission may delegate its decision-making authority
to its designee, where allowed, in order to implement the
sections of these Rules requiring such authority'.
.Authority- G.S 90.
W X W X X w
Notice is hereby given in accordance with G.S. 150B-21.2
that the Commission of Health Services intends to amend
rules cited as ISA SCAC I6A .0101. .0106 and repeal 16A
.0108. \otice of Rule-making Proceedings was published in the
Register on May- 15. 1998.
Proposed Effective Date: April 1. 1999
A Public Hearing will be conducted at 1:00 p.m. on August 5.
1998 at the Ground Floor Hearing Room, Archdale Building,
512 N. Salisbury Street. Raleigh. \C.
Reason for Proposed Action: The Migrant Health Program
currently requires private medical and dental providers,
pharmacies, and hospitals who provide health sen-ices to
migrant farmworkers to submit an Authorization Request form
in addition to the standard claim form. Requirement of the
Authorization Request form places an excessive administrative
burden on providers and has had a negative impact on the
Program's capacity- to recruit additional providers to participate
in the Program. Because virtually all Authorization Requests in
the Migrant Health Program are submitted to the program with
the claim after the service has been rendered, completing and
processing the Authorization from lias been felt to be a wasteful
and unnecessary duplication of effort for both private providers
and the state claims processors. The current dual authorization
and claims processing procedures will be simplified to a single
process of revie\\-ing claim requests for services provided to
eligible individuals.
Comment Procedures: Comments may- be submitted in writing
within 30 days after the date of publication of this issue of the
North Carolina Register to Suzana Young, Division of
Community Health. Office of Minority: Health, DHHS, PO Box
29605. Raleigh. \C 2-626-0605.
Fiscal Note: These Rules do not affect the expenditures or
re\-enues of state or local government funds. These Rules do not
ha\e a substantial economic impact of at least five million
dollars (S5. 000.000 1 in a 12-month period.
CHAPTER 16 - ADULT HEALTH
SUBCHAPTER 16A - CHRONIC DISEASE
2.U
XORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
SECTION .0100 - MIGRANT HEALTH
Raleigh, NC 2761 1.
.0101 GENERAL
The Migrant Health program is administered by the H e alth
Car e S e ction, Division of Adult H e alth, D e partment of
Environment. H e alth, and Natural R e source s , P.O. Box 276 8 7,
Raleigh, NC 27611 76 8 7. Division of Community Health in the
Department of Health and Human Services.
Authority G.S. I30A-223; Sec. 329, Public Health Services Act,
95 Stat. 569 (42 U.S.C. 254b).
.0106 ELIGIBLE MIGRANTS
All migrants are eligible for participation in the fee-for-service
reimbursement aspect of the program. Migrant status shall be
determined by the provider of medical care services and certified
by a C e rtification of Migrant Status form Migrant (Farmworker)
Health Program Eligibility Application form (DHHS 3753)
signed by the patient, a person responsible for the patient, or the
provider. Certification forms ar e available fi'om the Offic e of
Purcha s e of M e dical Car e S e rvic e s. NC D e partment of
Environment, H e alth, and Natural R e sourc e s, P.O. Box 276 8 7,
Ral e igh, NC 7611 76 8 7. There are no financial eligibility
requirements.
Authority G.S I30A-223.
.0108 AUTHORIZATION
(a) A servic e must b e authoriz e d b e for e th e Migrant H e alth
program will provid e r e imburs e m e nt. R e qu es t s for authorization
must b e submitt e d on an Authorization R e qu es t Form, DEHNR
3056, and includ e a sign e d C e rtification of Migrant Status form.
Forms may b e obtain e d from th e Offic e of Purchas e of M e dical
Car e S e rvices, NC D e partm e nt of Environm e nt, H e alth, and
Natural R e sourc e s, P.O. Box 276 8 7, Ral e igh, NC 2761 1 76 8 7.
Tim e frames and procedures for authorization and claims
proc e ssing ar e found in 15A NCAC 2 4 A. R e imbursem e nt rat e s
ar e found in rul e s in 15A NCAC 24 A.
(b) Only thos e se rvic e s li s t e d in Paragraph (a) of Rule .0109
of this S e ction s hall b e authoriz e d for reimbur s ement.
Authority G.S I30A-223.
Reason for Proposed Action: On August 29. 1997 the General
Assembly adopted "An Act to Enhance and Improve Child Care
in North Carolina" which was signed into law and became
effective on September 16, 1997. The existing North Carolina
Administrative Code is in conflict with the new General Statutes.
For instance, the new Statutes allows the use of domestic kitchen
equipment in child care centers regardless of facility size or
number of meals served. The existing Administrative Code (15 A
NCAC 18A .2810) requires child care centers licensed for or
serving meals to 30 or more children to use commercial kitchen
equipment. The new General Statutes also requires child care
centers that fry foods to use commercial hood ventilation
systems. The existing Administrative Code does not have a
commercial hood ventilation requirement. Other proposed
changes to the Administrative Code in ISA NCAC 18A .2801 -
.2804, .2810, .2812 - .2813, .2815, .281 7, .2819 - .2820, .2822 -
.2825. .2827 - .2834, are in response to comments received from
local health departments officials and child care center
operators to clarify existing administrative rules.
Comment Procedures: Comments, both written and oral, on
the proposed changes to the Administrative Rules are welcome
from all interested parties. Agency staff will review all
comments in time to incorporate, if necessary, changes to the
proposed rule package. Written comments should be mailed to
Ed Norman. DENR-Div. of Env. Health, PO Box 29534,
Raleigh, NC 27626-0534. Comments will be accepted through
August 14, 1998.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars ($5,000,000) in a 1 2-month period.
CHAPTER 18 - ENVIRONMENTAL HEALTH
SUBCHAPTER ISA -SANITATION
SECTION .2800 - SANITATION OF CHILD
DAY CARE FACILITIES
********************
Notice is hereby given in accordance with G.S. 150B-21.2
that the Department of DEN R - Commission for Health
Services intends to amend rules cited as 15A NCAC 18A .2801 -
.2804, .2808, .2810, .2812 - .2813, .2815, .2817, .2819 - .2820,
.2822 - .2825, .2827 - .2834. Notice of Rule-making
Proceedings was published in the Register on February 16,
1998 and April 1, 1998.
Proposed Effective Date: April 1, 1999
A Public Hezrmg will be conducted at 2:30 p.m. on August 5,
1998 at the Archdale Building, Ground floor Hearing Room,
.2801 DEFINITIONS
The following definitions shall apply throughout this Section:
( 1 ) "Adequate" means determined by the Department to
be of sufficient size, volume, or technical
specifications, to effectively accommodate and
support the planned, current, or projected workloads
for a specified operational area.
(2) "Approved" means procedures and domestic or
commercial equipment determined by the Department
to be in compliance with this Section. Food service
equipment and utensils which meet and are installed
in accordance with National Sanitation Foundation
(NSF) standards or e qual shall be consid e r e d as
approved. Th e NSF s tandard s arc h e reby incorporat e d
13:2
NORTH CAROLINA REGISTER
Julv 15, 1998
235
PROPOSED RULES
by r e f e r e nce including any subs e qu e nt am e ndm e ntG
and e ditions. This mat e rial is availabl e for in s p e ction
at th e D e partm e nt of Environm e nt. H e alth, and
Natural R e sources. Division of Environm e ntal H e alth.
1330 St. Mary's Str ee t. Ral e igh. North Carolina.
Copi es may bo obtained from th e National Sanitation
Foundation. P.O. Box 1301 1. Ann Arbor. Michigan.
48 1 13 01 4 at a cost of thr ee hundred tw e nty fiv e
dollars (S325.00).
(3) "Communicable Condition" means the state of being
infected with a communicable agent but without
symptoms.
(4) "Communicable Disease" means any disease that can
be transmitted fi"om one person to another directly, by
contact with excrement, other body fluids, or
discharges from the body; or indirectly, via substances
or inanimate objects, such as contaminated drinking
glasses, toys or water; or via vectors, such as flies,
mosquitoes, ticks, or other insects.
(5) "Department" or "DENR" "DEHNR" means the Nt€t
North Carolina Department of Environm e nt. H e alth,
Environment and Natural Resources. The term also
means the authorized representative of the
Department.
(6) "Division of Child Development" means the Division
of Child Development of the N.C. Department of
Health and Human R es ourc es . Services.
(7) "Eating and Cooking Utensils" means and includes
any kitchenware, tableware, glassware, cutlery,
utensils, containers, or other equipment with which
food or drink comes in contact during storage,
preparation, or serving.
(8) "Environmental Health Specialist" means a person
authorized to represent the Department.
(9) "Food" means any raw. cooked, or processed edible
substance, ice, beverage, or ingredient used or
intended for use or for sale in whole or in part for
human consumption.
(10) "Frying" means to cook over direct heat in hot oil or
far
(-W) (11) "Hermetically Sealed" means a container
designed and intended to be secure against the entry
of microorganisms and to maintain the commercial
sterility of its contents after processing.
(444 (12) "Hygroscopic Food" means food which readily
takes up and retains moisture, such as bean sprouts.
(43) ( 13) "Impervious" means that which will not allow
entrance or passage, such as an airtight plastic
container that will not allow the entrance of moisture
or vermin.
(4^ ( 14) "Potable Water" means water from an approved
source which is suitable for drinking.
(44) ( 15) "PotentialK Hazardous Food" means any food or
ingredient, natural or synthetic, in a form capable of
supporting the growth of infectious or toxigenic
microorganisms, including Clostridium botulinum.
This term includes raw or heat treated food of animal
origin, raw seed sprouts, and treated foods of plant
origin. The term does not include foods which have
a pH level of 4.6 or below or a water activity (Aw)
value of 0.85 or less.
(4^ (16) "Putrescible Materials" means materials likely to
rot or putrefy, such as fruit, vegetables, meats, dairy
products, or similar items.
ft4) (17) "Sanitary Sewage System" means a complete
system of sewage collection, treatment, and disposal
and includes septic tank systems, connection to a
public or community sewage system, sewage reuse or
recycle systems, mechanical or biological treatment
systems, or other such systems.
(4^ (18) "Sanitize" means the approved bactericidal
treatment by a process which meets the temperature
and chemical concentration levels in 1 5 A NCAC 1 8A
t364^ .2812.
(48) (19) "Sewage" means the liquid and solid human
body waste and liquid waste generated by water-using
fixtures and appliances, including those associated
with foodhandling. The term does not include
industrial process wastewater or sewage that is
combined with industrial process wastewater.
(4^ (20) "Single-Service Articles" means tableware,
including flatware and hollowware, carry-out utensils
and other items such as bags, containers, stirrers,
straws, toothpicks, and wrappers which are designed,
fabricated and intended b\ the manufacturer for
one-time use.
(50) (21) "Single-Use Articles" means bulk food
containers and utensils intended by manufacturer to
be used once and discarded. The term includes items
such as formed buckets, bread wrappers, pickle
barrels, and No. 10 cans. The term does not include
"singl e s e rvic e articl e s" single-service articles as
defined in this Section.
Author in' G.S. 110-91.
.2802 APPROVAL OF CONSTRUCTION AND
RENOVATION PLANS
(a) Plans drawn to scale and specifications for new child care
centers construction or modifications to anv e xisting or propos e d
day care facility shall be submitted to the local health department
for review and approval prior to initiating b e ginning
construction. Plans drawn to scale and specifications for
changes to building dimensions, kitchen specifications, or other
modifications to existing child care centers shall also be
submitted to the local health department for review and approval
prior to construction. Plans drawTi to scale and specifications for
prototype "franchise" or "chain" child care centers faciliti e s may
atee shall be submitted by th e local h e alth d e partm e nt to th e
Environm e ntal H e alth Servic e s S e ction, to DENR. Division of
Environmental Health. Environmental Health Services Section,
D e partm e nt of Environm e nt. Health, and Natural R e sourc es . PO
Box 57687, 29534. Raleigh. North Carolina 27611 76 8 7. 27626-
0534. The initial inspection for new construction or the first
inspection following modifications to existing child care centers
faciliti es shall not be made bv the Environmental Health
236
yORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
Specialist unless these plans have been approved.
(b) Review of the plans by the local health department or the
Environmental Health Services Section shall be based on the
requirements of this Section.
(c) Construction and modifications shall comply with the
approved plans.
Authority G.S. 110-91.
.2803 INSPECTIONS AND REPORTS
(a) Unannounced inspections of child day care centers
faciliti es shall be made by an Environmental Health Specialist at
least once each six months. An original and two copies of the
Sanitation Standards Evaluation Form for ©ay Child Care
Centers Faciliti es shall be completed by the Environmental
Health Specialist. The original shall be submitted to the
Division of Child Development by the Environmental Health
Specialist. The child care center facility operator and the
Environmental Health Specialist shall each retain a copy.
(b) If the Environmental Health Specialist determines that
conditions found at the child care center facility' at the time of
any inspection are dangerous to the health of the children, the
Environmental Health Specialist shall notify the Division of
Child Development within 24 hours by verbal contact. The
original of the inspection report documenting the dangerous
conditions shall be sent to the Division of Child Development
within two working days following the inspection.
(c) An Environmental Health Specialist may conduct an
inspection of any child day care center facility as frequently as
necessary in order to ensure compliance with applicable
sanitation standards.
Authority G.S. 110-91.
.2804 FOOD SUPPLIES
(a) Food shall be in good condition, free from spoilage, filth,
or other contamination and shall be safe for human consumption.
Potentially hazardous foods Food shall be obtained from sources
that are regulated by and comply with all laws relating to food
and food labeling. The use of food packaged in hermetically
sealed containers that was not prepared in a commercial food
processing establishment is prohibited.
(b) Milk products that are used shall be Grade "A"
pasteurized fluid milk and fluid milk products or evaporated
milk. The term "milk products" means those products as defined
in 15A NCAC 18A .1200. Copies of 15A NCAC ISA .1200
may be obtained from the Environmental Heahh Services
Section, Division of Environmental Health, D e partm e nt of
Environm e nt, H e alth, and Natural R es ourc es . DENR, PO Box
27687, Raleigh, North Carolina 2761 1-7687. Unless prescribed
by a physician, dry milk and dry milk products may be used only
for cooking purposes, including cooked pudding desserts and
flavored hot beverages.
(c) Fresh and frozen shucked shellfish (oysters, clams, or
mussels) shall be packed in nonretumable packages identified
with the name and address of the original shell stock processor,
shucker - packer, or repacker. and the interstate certification
number issued according to law. Shell stock and shucked
shellfish shall be kept in the container in which they were
received until they are used. Each container of unshucked shell
stock (oysters, clams, or mussels) shall be identified by an
attached tag that states the name and address of the original shell
stock processor, the kind and quantity of shell stock, and an
interstate certification number issued by the State or foreign
shellfish control agency. After each container of shellstock has
been emptied, the management shall remove the stub of the tag
and retain it for a period of at least 90 days.
(d) Raw eggs or products containing raw eggs shall not be
consumed, including raw cookie dough, cake batter, brownie
mix, milkshakes, ice cream and other food products. A
pasteurized egg product may be used as a substitute for raw
eggs.
(e) Formula, mother's milk, and other bottled beverages sent
from home shall be fully prepared, dated, and identified for the
appropriate child at the child's home. All formula, mother's
milk, and other bottled beverages shall be returned to the child's
home or discarded at the end of each day. Formula provided by
the child day care center facility shall be commercially
pre-packaged, ready-to-feed, fully prepared, and packaged in
single- service containers. However, formula that does not meet
these requirements may be provided by the child day care center
facility as prescribed by the child's physician or instructed by
parent or guardian in writing. Bottles and other drinking utensils
provided by the child day care center facility shall be sanitized
in accordance with this Section. Formula and other beverages
which require refrigeration, baby food after opening, and
mother's milk shall be identified for the appropriate child and
shall be refrigerated at 45 °F (7°C) or below. Commercially
prepared baby foods shall be served from a serving dish rather
than the food jar. Upon opening jars of baby food shall be
covered, dated with the date of opening, refrigerated, and used
within 48 hours. However, baby food may be served directly
from the jar to one child if unused portions of the food are
discarded after each feeding.
(f) Faciliti e s Child care centers receiving prepared,
ready-to-eat meals from outside sources shall use only catered
meals obtained from a food handling establishment permitted or
inspected by a health department. During transportation, food
shall meet the requirements of these Rules relating to food
protection and storage.
(g) All bag lunches containing potentially hazardous foods
shall be refrigerated in accordance with this Section.
Authority G.S. 110-91.
.2808 FOOD SERVICE
(a) Milk and milk products for drinking purposes may shall
be served from a commercially filled container of not more than
one gallon capacity or drawn from a commercially filled
container stored in a mechanically refrigerated bulk milk
di s p e n se r, dispenser directly into the drinking utensil.
(b) Ice. if purchased, shall be purchased from an approved
source and kept clean. Ice shall be made, handled, transported,
stored and dispensed in such a manner as to be protected against
contamination. Ice shall be dispensed with scoops, tongs, or
other ice-dispensing utensils or through automatic ice-dispensing
13:2
NORTH CAROLINA REGISTER
July 15, 1998
237
PROPOSED RULES
equipment. Ice-dispensing utensils shall be stored on a clean
surface or in the ice with the dispensing utensil's handle
extended out of the ice. Between uses, ice transfer receptacles
shall be stored to protect them from dust, drip, splash and other
contamination. Ice storage bins shall be drained through an air
gap-
(c) Employees preparing food shall have used antibacterial
soap, dips, or hand sanitizers immediately prior to food
preparation or shall use clean, disposable gloves or sanitized
utensils during food preparation. This requirement is in addition
to all handwashing requirements in Rule .2828 of this Section.
(d) Once served, portions of leftover food shall not be served
again unless the package is intact and the food is not potentially
hazardous.
(e) Between uses during service, dispensing utensils shall be
stored in the food with the dispensing utensil handle extended
out of the food or stored clean and dry.
(f) Children attending child care centers shall not have access
to the kitchen except for in emergencies or when participating in
a supervised educational activity.
£gj Nothing in these Rules shall be construed as prohibiting
family style food service at child care centers so long as
supervision of the children is maintained throughout each meal
except that a family style food service may be prohibited during
the outbreak and investigation of communicable diseases.
Authority G.S. 110-91.
.2810 SPECIFICATIONS FOR KITCHENS
(a) Day Car e Faciliti e s Lic e ns e d For child care centers
licensed for or serving food to 6 to 29 Childr e n: fewer than 30
children:
( 1 ) Domestic kitchen equipment may be used. Domestic
kitchen equipment shall include at least a
two-compartment sink, refi^igeration equipment and
adequate cooking equipment. Child Bay care centers
faciliti e s using multi-use articles ut e nsil s shall also
provide a dishwasher. In lieu of a dishwasher and
two-compartment sink, a three-compartment sink with
drainboards or adequate counter top space may be
us e d, used;
(2) A separate lavatory for handwashing is required in
food preparation areas. If the dishwashing area is
separate from the food preparation area, an additional
lavatory shall be required in the dishwashing area.
These handwashing lavatories shall be used only by
food service p e r s onn e l, personnel; and
(3) A commercial hood shall be installed when foods are
fried on-site. The hood shall be installed m
accordance with the North Carolina Building Code
and approved by the local building code enforcement
agent.
(b) Day Car e Faciliti e s Lic e ns e d For child care centers
licensed for or serving food to 30 or Mor e Childr e n: more
children:
(1) Only approved Approved food service equipment
shall be used. If e quipm e nt i s not National Sanitation
Foundation list e d, th e own e r or op e rator s hall s ubmit
documentation to th e D e partm e nt that d e monstrat e s
that the e quipment is at lea s t e quival e nt to National
Sanitation Foundation standards. — Th e D e partm e nt
shall d e termin e if the equipment is at l e ast e quival e nt
to National Sanitation Foundation Standards; When
domestic kitchen equipment is used the following
provisions shall apply:
(A) Potentially hazardous foods shall not be
prepared prior to the day that such foods are to
be served;
(B) Potentially hazardous foods that have been
heated shall not be reheated or placed in
refrigeration to be used in whole or in part on
another day;
(C) Salads containing potentially hazardous food
shall not be prepared on-site; and
(D) All meats, poultry, and fish shall be purchased
in pre-portioned, ready-to-cook form.
(2) Food service equipment shall include:
(A) Where meals are prepared and multi-use
articles are used, at least a three-compartment
sink with drainboards or adequate countertop
space, refrigeration equipment, and cooking
equipment;
(B) Where meals are prepared and only single-
service articles are used, at least a two-
compartment sink with drainboards or adequate
counter top space, refrigeration equipment, and
cooking equipment; or
(B) (Cj Where no meals are prepared and only
single-service articles are used, refrigeration
equipm e nt equipment, and at least a domestic
two-compartment sink with drainboards or
adequate countertop space, shall b e requir e d.
(3) A separate food preparation sink with drainboard shall
be provided for the washing and processing of foods
except where plan review shows that volume and
preparation frequency do not require separate
facilities.
(4) A separate lavatory for handwashing is required in
food preparation and food service areas. If the
dishwashing area is separate from the food
preparation area, an additional lavatory shall be
required in the dishwashing area. These handwashing
lavatories shall be used only by food service
personnel.
(5) A commercial hood shall be installed when foods are
fried on-site. The hood shall be installed in
accordance with the North Carolina Building Code
and approved by the local building code enforcement
agent.
(c) If baby food is prepared in the infant or toddler area, an
infant/toddler food service area shall be provided. The
infant/toddler food service area shall be used exclusively for the
storage of infant bottles, warming of bottles, storage of fully
prepared baby foods in their containers and the mixing of dry
cereals with formula or with potable water from a source other
than a lavatory used for handwashing. The food preparation
238
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
counters, bottle warming equipment, food and food contact
surfaces shall not be within reach of children. The infant/toddler
food service area shall contain at least an adequate refi-igerator,
bottle warming equipment, an easily cleanable counter top and
a separate lavatory for food service handwashing only.
Domestic food service equipment may be used in infant/toddler
food service areas regardless of child day care center facility
size.
(1) All equipment shall be cleaned at least daily.
Warming equipment shall be cleaned and sanitized as
required in Rule .2812 or .2813 of this Section.
(2) After each use, all multi-use eating and drinking
articles ut e nsils shall be cleaned and sanitized in the
child day care center facility kitchen.
(3) Single-service articles it e ms shall be handled as
required in Rule .2814 of this Section.
(4) Counter, shelf or cabinet space shall be provided for
food storage. All dry cereal shall be stored in closed,
labeled containers. Food supplies shall be stored in
accordance with this Section.
(d) Equipment that was installed in a day child care center
facility prior to July 1, 1991 that does not meet all the design and
fabrication requirements of this Section shall be deemed
acceptable if it is in good repair, capable of being maintained in
accordance with the rules of this Section and the food-contact
surfaces are nontoxic. This shall not apply to e quipm e nt
requir e d in Paragraph (c) of this Rul e . This shall not apply to
equipment in Paragraph (c) of this Rule or to commercial hoods
that are required for frying foods. Replacement equipment and
new equipment acquired after July I, 1991 shall meet the
requirements of Paragraphs (a), (b) and (c) of this Rule.
Licensed child care centers faciliti e s that increase the number
licensed for or that increase the number of children to whom
they serve food, shall comply with all the rules of this Section.
Upon change of ownership, or the closing of the operation and
the issuance of a new license, the child day care center facility
shall comply with all the rules of this Section.
Authority G.S. 110-91.
.2812 MANUAL CLEANING AND SANITIZING
(a) Day car e faciliti e s Child care centers licensed for or
serving food to 30 or more children, shall provide and use a
three-compartment sink with drainboards or adequate counter
top space if utensils and equipment are manually cleaned and
sanitized.
(b) Bay Child care centers faciliti e s licensed for or serving
food to 6 to 29 fewer than 30 children may use a domestic
dishwasher for washing and rinsing of multi-use articles utensils
and equipment. Utensils and equipment shall then be sanitized
in the sink as required in Subparagraph (e)(4) of this Rule. Sink
compartments shall be large enough to fiilly submerge the largest
items to be washed and each compartment shall be supplied with
hot and cold running water.
(c) Drainboards or countertop space of adequate size but in
no case less than 24" long shall be provided for proper handling
of soiled utensils prior to washing and cleaned utensils following
sanitizing.
(d) Equipment and utensils shall be preflushed or prescraped
and, when necessary, presoaked to remove gross food particles
and soil.
(e) Except for fixed equipment and utensils too large to be
cleaned in sink compartments, manual washing, rinsing, and
sanitizing shall be conducted in the following sequence:
( 1 ) Sinks shall be cleaned prior to use.
(2) Equipment and utensils shall be thoroughly washed in
the first compartment with a hot detergent solution
that is kept clean.
(3) Equipment and utensils shall be rinsed free of
detergent and abrasives with clean water in the second
compartment.
(4) The food-contact surfaces of equipment and utensils
shall be sanitized in the third compartment by:
(A) Immersion for at least one minute in clean, hot
water at a temperature of at least 170°F
(77°C);
(B) Immersion for at least two minutes in a clean
solution containing at least 50 parts per million
(ppm) of available chlorine at a temperature of
at least 75°F(24°C);
(C) Immersion for at least two minutes in a clean
solution containing at least 12.5 parts p e r
million ppm of available iodine and having a
pH not higher than 5.0 and at a temperature of
atleast75°F(24°C);or
(D) Immersion for at least two minutes in a clean
solution containing at least 200 parts p e r
million ppm of quaternary ammonium products
and having a temperature of at least 75 °F
(24 °C), provided that the product is labeled to
show that it is effective in water having a
hardness value at least equal to that of the
water being used.
(0 For utensils and equipment which are either too large or
impractical to sanitize in a dishwashing machine or dishwashing
sink, a spray-on or wipe-on sanitizer shall be used. When
spray-on or wipe-on sanitizers are used, the chemical strengths
shall be those required for sanitizing multi-use eating and
drinking utensils. Spray-on or wipe-on sanitizers shall be
prepared daily and kept on hand for bactericidal treatment.
(g) When hot water is used for sanitizing, the following
facilities shall be provided and used:
( 1 ) An integral heating device or fixture installed in, on,
or under the sanitizing compartment of the sink
capable of maintaining the water at a temperature of
at least I70°F (77°C); and
(2) A numerically scaled indicating thermometer, accurate
to ±3° F (± 1.5°C), convenient to the sink for
frequent checks of water temperature; and
(3) Dish baskets of such size and design to permit
complete immersion of the tableware, kitchenware,
and equipment in the hot water.
(h) An approved testing method or equipment shall be
available, convenient, and regularly used to test chemical
sanitizers to insure minimum prescribed strengths.
(i) After sanitization, all equipment and utensils shall be air
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239
PROPOSED RULES
dried.
Authority G.S. 110-91.
.2813 MECHANICAL CLEANING AND
SANITIZING
(a) — If m e chanical dishwashing e quipm e nt is us e d, such
e quipm e nt shall b e construct e d and op e rat e d in accordanc e with
National Sanitation Foundation Standards or equal except as
not e d in Rul e .2 8 10(a)(1) of thi s S e ction.
(a) {b^ Machine or water line mounted numerically scaled
indicating thermometers, accurate to ±3°F (± 1.5°C), shall be
provided to indicate the temperature of the water in each tank of
the machine and the temperature of the final rinse water as it
enters the manifold.
(b} (e) An adequate drainboard or counter top space for the
proper handling of soiled utensils prior to washing and adequate
space for the proper handling of cleaned utensils following
sanitization shall be provided.
(c) (4) Equipment and utensils shall be flushed or scraped
and. when necessary, soaked to remove gross food particles and
soil prior to being washed in a dishwashing machine unless a
prewash cycle is a part of the dishwashing machine operation.
Equipment and utensils shall be placed in racks, trays, or
baskets, or on conveyors, in a way that food-contact surfaces are
exposed to the unobstructed application of detergent wash and
clean rinse waters and that permits free draining.
(d) fe^ Machines using chemicals for sanitization may be
used provided that a suitable testing method or equipment is
s hall b e available, convenient, and regularly used to test
chemical sanitizers to insure minimum prescribed strengths.
(e) {f) All dishwashing machines shall be thoroughly cleaned
at least once a day or more often when necessary to maintain
them in a satisfactory' operating condition.
(f) (g) After sanitization, all equipment and utensils shall be
air dried.
Authority G.S. 110-91.
.2815 WATER SUPPLY
(a) Running water under pressure shall be provided in
sufficient quantities to meet the needs of cooking, cleaning,
drinking, toilets, and outside uses without producing water
pressure lower than 20 psi. that required by the North Carolina
Plumbing Code.
(b) The water supply shall meet the requirements of 15A
NCAC 18C or 15A NCAC ISA .1700 Protection of Water
Supplies. Samples of water shall be collected by the
Environmental Health Specialist and submitted to a state
certified laboratory for bacteriological analysis annualK . Other
tests of water quality, as indicated by possible sources of
contamination, may be collected by the Environmental Health
Specialist.
(c) No cross-connections with an unapproved water supply
shall exist. If potential back-fiow conditions exist, an approved
back-fiow prevention device shall be provided.
(d) Water heating equipment that is sufficient to meet the
maximum expected requirements of the child day care center
facility shall be provided. Capacity and recovery rates of hot
water heating equipment shall be based on number and size of
sinks, capacity of dishwashing machines, capacity of laundering
machines, diaper changing facilities, and other food service and
cleaning needs. Hot and cold water under pressure shall be
easily accessible to all rooms where food is processed or
handled, rooms in which utensils or equipment are washed, and
other areas where water is required for cleaning and sanitizing,
including lavatories and diaper changing areas.
(e) Hot water heating equipment shall provide hot water at a
minimum temperature of 130°F (54°C) at the point of use when
hot water is not used for sanitizing. When hot water is used for
sanitizing, a minimum temperature of 140°F (60 °C) shall be
provided at the point of use. However, hot water to those areas
accessible to children, including lavatories serving diaper
changing areas, shall be no less than 90 °F (32°C) and shall not
exceed 110°F. 110°F (43°C). except that for child care centers
serving only school-aged children the 90°F (32°C) minimum
temperature requirement shall not apply.
Authority G.S. 110-91.
.2817 TOILETS
(a) All toilet fixtures and toilet rooms shall be located to
comply with the requirements of these Rules. Storage in toilet
rooms shall be limited to toileting and diapering supplies. All
toilet fixtures shall be easily cleanable, and in good repair.
Toilet fixtures shall be child-sized, properly adapted adult toilets
or potty chairs for young toddlers.
(b) Toilet fixtures shall be cleaned and sanitized when soiled
and at least on a daily basis. A solution of 100 ppm chlorine
solution or other equivalent methods approved by the
Environmental Health Specialist shall be used for sanitizing.
(c) If potty chairs are used, they shall be located in a toilet
room equipped with a spray rinse toilet or utility sink, a spray
rins e toil e t or utility s ink shall b e locat e d in a toil e t room for th e
purpos e of cl e aning potty chairs. Potty chairs shall be emptied
rinsed, cleaned and sanitized when soiled or at least on a daily
basis, with 100 ppm chlorine solution or equivalent method
approved by the Environmental Health Specialist.
(d) When cloth diapers are used, the The diaper changing area
shall be located proximate to a toilet room or flush-rimmed sink.
Authorit:,-G.S. 110-91.
.2819 DIAPERING AND DIAPER CHANGING
FACILITIES
(a) Infants and toddlers shall be diapered at areas designated
exclusively for diapering.
(b) Diapering surfaces shall be smooth, nonabsorbent, easily
cleanable and shall be approved by the Environmental Health
Specialist.
(c) Diapering surfaces shall be kept free of storage and shall
be cleaned with a mild solution of water and detergent and
sanitized after each changing. A solution of 100 ppm chlorine
or equivalent methods approved by the Department
Environm e ntal H e alth Sp e cialist shall be used for sanitizing. A
suitable testing method or kit shall be available and used daily to
240
NORTH CAROLINA REGISTER
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13:2
PROPOSED RULES
insure compliance with the minimum prescribed strength. This
sanitizer shall be used from a labeled hand pump spray bottle.
(d) Each diaper changing area in a child care center facility'
licen se d for 13 or more childr e n shall include a handwash
lavatory for caregiv e rs, caregivers, except for centers For a
facility licensed for fewer less than 1 3 childr e n, children and
located in a residence. For centers licensed for fewer than 1 3
children and located in a residence a separate handwash lavatory
shall be in or near diaper changing areas.
(e) The use of disposable gloves by caregivers during the
diaper changing process is required if the worker has cuts or
sores on hands or chapped hands. Gloves shall be discarded
after use with each child.
(f) Caregivers may dispose of feces in diapers in the toilet,
but shall not rinse soiled cloth diapers, or training pants or
clothes. Soiled cloth diapers, training pants or clothes shall be
sent to a diaper service or placed in a tightly closed plastic bag
or other equivalent container approved by the Environmental
Health Specialist and sent daily to the child's home to be
laundered.
(g) Pre-moistened towelettes or damp paper towels shall be
used for cleaning children during the changing process. Soiled
paper or towelettes shall be discarded after use with each child
and shall be disposed of in a covered plastic-lined receptacle.
(h) Soiled disposable diapers shall be placed in a cleanable,
plastic-lined, covered container and removed to an exterior
garbage area at least daily.
(i) Whether or not disposable gloves are used, caregivers
Caregivers shall wash their hands after each diaper change in
accordance with Rule .2828 of this Section.
(j) The child's hands shall be washed in the lavatory, or, in
the case of infants, with single-use, pre-moistened towelettes
after each diaper change.
(k) Instructions providing information to care givers in proper
methods of diaper-changing and handwashing shall be posted in
each diaper changing area.
Authority G.S. 110-91.
.2820 STORAGE
(a) Rooms or spaces shall be provided for the storage of
equipment, fijmiture, toys, clothes, beds. cots. mats, and supplies
and shall be kept clean. Shelving or other storage, constructed
in a manner to facilitate cleaning, shall be provided for orderly
storage of supplies, including mats and toys.
(b) All corrosive agents, insecticides, rodenticides, herbicides,
bleaches, detergents, polishes, items containing petroleum
products, any product which is under pressure in an aerosol
dispensing can, and any substance which may be hazardous to a
child if ingested, inhaled, or handled shall be stored in a locked
storage room or cabinet, locked with a combination lock or key.
Keys shall be kept out of the reach of a child and shall not be
stored in the lock.
(c) A properly mixed sanitizing solution and a mild detergent
solution approved by the Environmental Health Specialist that is
k e pt in the infant and toddler diap e r changing ar e a s shall not be
required to be stored in a locked storage room or locked cabinet.
In these areas, this sanitizer shall be clearly labeled and shall not
be accessible to infants and toddlers, children.
(d) Medications shall be stored in a separate locked cabinet
or other locked container. Medications which require
refi-igeration shall be stored in a locked box or locked container
in a designated area for such storage in a refrigerator which is
not accessible to children.
(e) Individual cubicles, lockers, or coat hooks shall be
provided for storage of coats, hats, or similar items. Coat hooks
not in individual cubicles or lockers, shall be spaced at least 12
horizontal inches apart. Individual toothbrushes or combs used
by children shall be labeled and stored in individual toothbrush
or comb cases or other approved methods.
Authority G.S. 110-91.
.2822 FURNITURE AND TOYS
(a) Furniture shall be of easily cleanable construction, and
shall be kept clean and in good repair.
(b) Equipment and toys provided by the child care center
facility' shall be of easily cleanable construction, and shall be
kept clean and in good repair. In infant and toddler rooms,
mouth-contact surfaces shall be cleaned and sanitized in
accordance with 15A NCAC .2812 of this Section or by other
means approved by the Department at least daily and more
ft^equently if necessary.
(c) Toys, furniture, cribs, or other items accessible to
children, shall be free of peeling, flaking, or chalking paint.
(d) Water play activity centers shall be filled just prior to use
of the center. Water must be dumped at least daily or more often
if visibly soiled. The water activity unit, including toys, shall be
cleaned and sanitized at least daily or more often if soiled.
Wading pools are not water play activity centers and are
regulated under 15A NCAC 18A .2500.
Authority' G.S. 110-91.
.2823 PERSONNEL
(a) Employees shall wear clean outer clothing and shall be
clean as to their person and methods of foodhandling and child
care. Employees shall keep their fingernails clean and trimmed.
(b) Hair nets, caps, or similar hair restraints shall be worn by
employees engaged in the preparation of food. Hair spray,
barrettes, or visors are not considered an effective hair restraint.
(c) Tobacco use in any form is prohibited in the food
preparation area, in any part of the child d^ care center facility
accessible to the children, and in the playground area.
(d) Persons with a communicable disease or a communicable
condition shall be excluded from situations in which
transmission can be reasonably expected to occur, in accordance
with Communicable Disease Confrol Measures (15A NCAC
19A .0200). under 15A NCAC 19A .0200. Any person with
boils, sores, bums, infected wounds or other potentially draining
lesions on the face, neck, hands, lower arms or other exposed
skin shall properly bandage affected area to eliminate exposure
to drainage. If exposure to drainage cannot be eliminated or
proper handwashing cannot be maintained, then the employee
shall be excluded from the child care center facility while the
condition exists.
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July 15, 1998
241
PROPOSED RULES
(e) Volunteer personnel shall adhere to the same requirements
in these Rules as employees.
Author in- G.S. 110-91.
.2824 FLOORS
(a) Floors and floor coverings of all food preparation, food
storage, utensil-washing areas, toilet rooms, and laundr% areas
shall be constructed of nonabsorbent, easily cleanable, durable
material such as sealed concrete, terrazzo, ceramic tile, durable
grades of linoleum or plastic, or tight wood impregnated with
plastic.
(b) Floors and floor coverings of all sleeping and play areas
shall be constructed of easily cleanable, durable materials.
(c) Carpeting used as a floor covering shall be of closeK
woven construction, properly installed, and easily cleanable.
Carpeting is prohibited in food preparation areas, equipment and
utensil-washing areas, food storage areas, laundr>' areas, and
toilet rooms.
(d) Floors in areas accessible to children, shall be free of
peeling, flaking or chalking paint.
(e) All floors shall be kept clean and maintained in good
repair.
(f) No identified lead poisoning hazards under 15A NCAC
18A .3101, rule governing Lead Poisoning Prevention jn
Children.
Author in- G.S. 110-91.
.2825 WALLS AND CEILINGS
(a) The walls and ceilings, including doors and windows, of
all rooms and areas shall be kept clean and in good repair. All
walls shall be nonabsorbent and easiK cleanable.
(b) Ceilings in rooms in which food is stored, handled or
prepared, utensil-washing rooms, and toilet rooms shall be
non-absorbent and easiK cleanable. Acoustic ceiling material
maN be used where ventilation precludes the possibilits of grease
and moisture absorption.
(c) Walls and ceilings, including doors and windows in areas
accessible to children, shall be free of peeling, flaking, or
chalking paint.
(d) No identified lead poisoning hazards under 15A NCAC
18A .3101 rule governing Lead Poisoning Prevention in
Children.
(c) If the area is not a separate room, it shall be separated
from space used by other children by a partition, screen or other
means approved by the Envirormiental Health Specialist. This
designated area shall be proximate to a toilet and lavatory, and
where health and sanitation measures can be carried out without
interrupting activities of other children and staff.
.Authority- G.S. 110-91.
.2828 HANDWASHING
(a) Employees shall be instructed that handwashing is the
single most important line of defense in preventing the
transmission of disease-causing organisms. Employees shall
wash hands upon reporting for work; before handling food;
before feeding infants or children; before handling clean utensils
or equipment; after toileting or handling of body fluids (ergr
(e.g.. saliva, nasal secretions, vomitus. feces, urine, blood,
secretions from sores, pustulant discharge); after diaper
changing; and after handling soiled items such as garbage, mops,
cloths, and clothing; after removing disposable gloves; and
before leaving work.
(b) Children shall wash hands upon arrival at the child care
center; after each visit to the toil e t and toilet; before eating meals
or snack s and snacks; before and after water activit>' play. pla\';
after handling animals or animal cages; and before going home.
(c) Proper handwashing procedures shall include:
(1) Using soap and tempered running water;
(2) Rubbing hands vigorously with soap and tempered
water for 1 5 seconds;
(3) Washing all surfaces of the hands, to include the
backs of hands, palms, wrists, under fingemails. and
between fingers;
(4) Rinsing well for 10 seconds;
(5) Dr\ing hands with a paper towel or mechanical dryer;
(6) Turning off faucet with paper towel.
.Authority- G.S 110-91.
.2829 WASTEWATER
All wastewater shall be disposed of in a publically-owTied
wastewater treatment (POWT) SN'stem or b> an approved
properh' operating on-site wastewater system.
Authorin-G.S 110-91.
.iuthorin- G.S 110-91.
.1%11
COMMUNICABLE DISEASES AND
CONDITIONS
(a) Any child who becomes ill at the child care center facilitv
and is suspected of having a communicable disease or
communicable condition shall be separated from the other
children until the child leaves the center, facility.
(b) Each child care center facilit>' shall include a designated
area for a child who becomes ill. When in use, such area shall
be equipped w ith a bed, cot or mat and a vomitus receptacle. All
materials shall be sanitized after each use. Linens and
disposables shall be changed after each use.
.2830 SOLID WASTES
(a) Solid wastes containing food scraps or other putrescible
materials shall, prior to disposal, be kept in durable,
rust-resistant, nonabsorbent. water-tight, rodent-proof, and easiK
cleanable containers such as standard garbage cans which shall
be covered with tight lids when filled or stored or not in
continuous use. Refiise including scrap paper, cardboard boxes
and similar items shall be stored in containers, rooms or
designated areas approved b>' the Environmental Health
Specialist.
(b) Facilities shall be provided for the washing and storage of
all garbage cans and mops for child day care centers, except for
centers licensed for fewer than 13 children and located m a
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\ORTH CAROLINA REGISTER
m
July 15, 1998
13:2
PROPOSED RULES
residence, faciliti e s liccnsod for 13 or mor e childr e n. Cleaning
facilities shall include combination faucet, hot and cold running
water, threaded nozzle, and curbed impervious pad sloped to
drain into an approved sanitary sewage system. Other can
cleaning facilities approved prior to July 1, 1991 shall be
deemed approved if in good repair and functioning properly.
Can cleaning facilities replaced after July 1, 1991 shall meet the
requirements of this Section.
(c) Where containerized systems are used for garbage storage,
facilities shall be provided for the cleaning of such systems. A
contract for off-site cleaning shall constitute compliance with
this Section.
(d) Solid wastes shall be disposed of so as to prevent insect
breeding and public health nuisances.
Authority G.S. 110-91.
.2831 ANIMAL AND VERMIN CONTROL:
PREMISES
(a) Unrestrained animals, except those used in approved pet
therapy programs, shall not be allowed in the day care facility,
including the outdoor play area. Animals shall not be allowed
in the food preparation areas. Animal cages shall be kept clean.
(b) Effective measures shall be taken to keep insects, rodents,
and other vermin out of the child day care centers faciliti es and
to prevent their breeding or presence on the premises.
(c) All openings to the outer air shall be protected against the
entrance of flying insects. For extermination of flying insects,
only approved pyrethrin-based insecticides or a fly swatter shall
be used in the food preparation areas. Products shall be used
only in accordance with directions and cautions appearing on
their labels. Insecticides shall not come in contact with raw or
cooked food, utensils, or equipment used in food preparation and
serving, or with any other food-contact surface.
(d) Only those pesticides which have been properly registered
with the appropriate federal regulatory agency and the North
Carolina Department of Agriculture shall be used. Pesticides
shall be used in accordance with the directions on the label and
shall be stored in a locked storage room or cabinet separate from
foods and medications.
Authority G.S. 110-91.
.2832 OUTDOOR AREAS
(a) The premises, including the outdoor play area, shall be
kept clean, drained and free of litter and hazardous materials.
Grass and other vegetation shall be maintained in a manner
which does not encourage the harborage of vermin.
(b) All outdoor activity areas shall be kept clean. All debris,
glass, dilapidated structures, and broken play equipment shall be
removed. The play areas shall be free from unprotected wells,
grease traps, cisterns, and utility equipment.
(c) For outdoor play equipment, the following shall apply:
(1) Equipment shall be kept in good repair, free of
peeling, flaking, or chalking paint and free of rust and
corrosion;
(2) The sandbox used in outdoor play shall be constructed
to allow for proper drainage and shall be kept clean.
(dj No identified lead poisoning hazards under 15A NCAC
18A .3101 rule governing Lead Poisoning prevention jn
Children.
Authority G.S. 110-91.
.2833 SWIMMING AND WADING POOLS
(a) Swimming and wading pools shall be designed,
constructed, operated and maintained in accordance with the
NtCt Rules Governing Swimming Pools, 1 5 A NCAC 1 8A .2500.
Copies of these Rules may be obtained from the DENR,
Division of Environmental Health. Environmental Health
Services Section, Division of Environm e ntal H e alth. D e partment
of Environm e nt, H e alth, and Natural R e sourc e s, PO Box 276 8 7,
29534, Raleigh, North Carolina 27611 76 8 7. 27626-0534.
(b) Unfiltered and nondisinfected containments of water shall
not be utilized for water recreation activities. Swimming and
wading pools, if present, shall be permanent structural features
of the child care center, facility'.
Authority G.S. 110-91.
.2834 COMPLIANCE
(a) The Environmental Health Specialist shall indicate on the
Sanitation Standards Evaluation Form for Child Bay Care
Centers Faciliti es whether the child care center facility is
superior, approved, provisional, or disapproved. The
classification shall be posted in the center facility in a
conspicuous place designated by the Environmental Health
Specialist. The superior, approved, provisional, or disapproved
classification of a child day care center facilit>' is based on the
center's facility's compliance with the standards for construction
and operation found in this Section.
(b) The degree of the child care center's facility's compliance
is indicated by the total demerit-point score which is shown on
the Sanitation Standards Evaluation Form that the Environmental
Health Specialist completes.
( 1 ) For the purpose of issuing a license to a new operator,
a Sanitation Standards Evaluation Form for Child Day
Care Centers. Faciliti e s, shall be forwarded to the
Division of Child Development only when the child
care center facilit>' can be granted a superior
classification;
(2) A child care center facilit>' shall be classified as
superior if the total demerit score is not more than 15
and no 6-demerit-point item is violated;
(3) A child care center facilit>' shall be classified as
approved if the total demerit score is more than 15
and not more than 30, and no 6-demerit-point item is
violated;
(4) A child care center facilit>' shall be classified as
provisional if any 6-demerit-point item is violated, or
if the total demerit-point score is more than 30 but not
more than 45. This provisional period shall not
exceed seven days unless construction or renovation
is necessary to correct any violation, in which case the
Environmental Health Specialist may allow a longer
provisional period;
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NORTH CAROLINA REGISTER
July 15, 1998
243
PROPOSED RULES
(5) A child care center facility' shall be classified as
disapproved if the demerit score is 46 or more, or if
conditions which resulted in a provisional
classification have not been corrected in the time
period specified b> the Environmental Health
Specialist;
(6) If the provisional status period exceeds seven days, or
the child care center facilit>' is disapproved, the
Division of Child Development shall be notified
immediateK by forwarding a copy of the inspection
report to the Division of Child Development. The
Environmental Health Specialist shall notify the
Division of Child Development in accordance with
Rule .2803 of this Section;
(7) The classification card shall not be removed except by
or upon the instruction of the Environmental Health
Specialist.
Authorin-G.S. 110-88: 110-91.
■fc-k-k-k'k-k'k'k'k'kitit
it -it ic "k -k -k it
Notice is hereby given in accordance with G.S. 1 50B-21.2
that the Commission for Health Services intends to amend
rules cited as 15.4 NC.4C 24.4 .0101 - .0102. .0302. .0402 -
. 0404. Notice of Rule-making Proceedings was published in the
Register on May 15. 1998.
Proposed Effective Date: .April 1. 1999
A Public Hearing will be conducted at 1:00 p.m. on August 5.
1998 at the .irchdale Building, Ground Floor Hearing Room.
Reason for Proposed Action:
ISA yC.AC 24A .0101 - .0102, .0402 - These are technical
amendments to change name and address of the department as
a result of re-organization.
ISA NC.4C 24A .0302, .0403 - .0404 - In conjunction with the
Migrant Health Program's proposed amendment to 15A NC.4C
16A .01 08. th is amendment wo uld elim inate the req uirement that
providers submit an Authorization Request form prior to
submitting a claim for payment to the program. This would
reduce paperwork and administrative costs for providers and
the program. The determination of whether billed services are
covered by the program would be made fi'om information on the
claim.
Comment Procedures: Comments may be submitted in writing
within 30 dens after the date of publication of this issue of the
North Carolina Register to Richard F. Moore. Controller's
Office. Purchase of .Medical Care Services Unit, DHHS, PO Box
29602. Raleigh. NC 27626-00602.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do not
have a substantial economic impact of at least five million
dollars ($5,000,000) in a 1 2 -month period.
CHAPTER 24 - GENERAL PROCEDURES FOR
PUBLIC HEALTH PROGRAMS
SUBCHAPTER 24A - PAYMENT PROGRAMS
SECTION .0100 - GENERAL PROVISIONS
.0101 GENERAL
(a) The purpose of this Subchapter is to establish uniform
policies and procedures for the administration of all Department
of Environm e nt. H e alth, and Natural R e sourc es ' Health and
Human Services' payment programs. These Rules are intended
to facilitate efficient financial eligibility and payment
mechanisms with a mutual goal of the Department and the
providers to render appropriate services to eligible patients.
(b) In the event of conflict between the rules in this
Subchapter and the rules adopted by the various payment
programs, the rules of this Subchapter will control.
(c) The rules of this Subchapter shall not apply to the North
Carolina Hemophilia Assistance Plan. 1 5 A NCAC 2 1 F . 1 1 00 or
to the Home Health Program. 15A NCAC 16A .0200.
(d) Persons who wish to receive rule-making notices
concerning the rules in this Subchapter must submit a written
request to the Purchase of Medical Care Services, S e rvic e s
S e ction. PO Box 27687. 29602. Raleigh, NC 27611 76 8 7.
27626-0602. The request must specify the calendar year during
which the person wishes to receive the notices. A check for ten
dollars ($10.00) made payable to the NC Department of
Environm e nt. H e alth, and Natural R e sourc e s Health and Human
Services must be enclosed with each request to cover the cost of
printing and mailing the notices for the year specified. The fee
is non-refundable if there are no notices during the year.
.Authority G.S. 130A-5(3): 130.4-124: 130A-12:
130A-205: 150B-21.2(b).
130A-129:
.0102 DEFINITIONS
The following definitions shall apply throughout this
Subchapter:
( 1 ) "Benefits" means the purchase of medical or dental
care on a fee-for-service basis. "Benefits" also means
the purchase of medical or dental appliances.
(2) "Department" means the Department of Environm e nt.
H e alth, and Natural R e sourc es , Health and Human
Services, or its contractor.
(3) "Inpatient services" means medical or dental care
administered to a person who has been admitted to a
hospital.
(4) "Outpatient services" means medical or dental care
administered without admission to a hospital.
(5) "Payment programs" refers to Department program
activities involving the purchase of medical or dental
care on a fee-for-service basis or the purchase of
medical or dental appliances, either through direct
paN'ment or through contracts with local health
departments, other agencies, or private institutions.
These activities are administered in the following:
(a) Children's Special Health Services,
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.NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
(b) Cancer Program,
(c) Kidney Program,
(d) Maternal and Child Health Program,
(e) Migrant Health Program,
(0 School Health Fund,
(g) Sickle Cell Program.
(h) HIV Medications Program, and
(!) Adult Cystic Fibrosis Program.
(6) "Provider" means a person or entity who administers
medical or dental care or furnishes medical or dental
appliances imder any of the payment programs.
(7) "Authorization" means agreement by a payment
program to pay for a medical or dental service or
appliance provided all requirements in 15A NCAC
24A are met.
other payors were billed. Providers of pharmacy
outpatient services are required to bill Medicaid.
However, they are not required to bill other third party
payors and wait six months before billing the
Department but are required to refund the Department
if other third party payments are received.
(7) The Department shall pay or deny a claim within 45
days after receipt of a completed claim.
(8) Authorization Requests and claims for payment shall
be submitted on forms approved by the Department.
Authohtv G.S. 130A-5(3): I30A-124: I30A-I27: I30A-I29:
130A-205.
SECTION .0400 - REIMBURSEMENT
Authoritx' G.S. 130A-5(3): 130A-124: 130A-127; 130A-129:
130A-177: 130A-205.
SECTION .0300 - ELIGIBILITY PROCEDURES
.0302 AUTHORIZATIONS AND CLAIMS
PROCESSING TIME FRAMES
The following time frames shall apply to all payment
programs:
(1) An Authorization Request must be received by the
Department within one year after the date of service
or it will be denied, denied, except in the Migrant
Health Program where authorizations are not used.
(2) The Department shall respond to an Authorization
Request within 45 days after receipt.
(3) If additional information is requested, this information
must be received within one year after the date of
service or within 30 days after the date of the
Department's request, whichever is later, or the
Authorization Request will be denied.
(4) The Department shall approve or deny an
Authorization Request within 45 days after receipt of
all necessary information.
(5) A claim for payment must be received by the
Department within one year after the date of service
or within 45 days after the date of authorization
approval, whichever is later, or the claim will be
denied. Corrections to claims and requests for
payment adjustment must be received by the
Department within one year after the date of service
or within 45 days after the date the claim is paid or
returned for additional information, whichever is later,
or the claim will be denied.
(6) If there are other third party payors, a claim must
show payments by those payors or it must include
copies of the denials of payment from those payors.
Providers must bill other payors and wait at least six
months after the date of service to receive payment or
denial of payment before billing the Department. If
no response has been received within six months after
the date of service, the provider may bill the
Department, but the claim must state the date that the
.0402 REIMBURSEMENT FOR INPATIENT
HOSPITALIZATION
The Department shall reimburse providers of authorized
inpatient hospitalization services at 80 percent of the hospital's
inpatient cost rate, which is then applied to the amount billed for
authorized services. The inpatient cost rate is a ratio of cost to
charges that is derived from audited cost reports and is obtained
from the Division of Medical Assistance. The Department shall
use the cost rate in effect on the date a claim is received, and
refroactive adjustments to claims paid shall not be made. If a
cost rate cannot be obtained for an out-of-state hospital, the
Department shall reimburse the hospital at 75 percent of the
billed amount for authorized services. The cost rates and any
subsequent amendments and editions are incorporated herein by
reference in accordance with G.S. I50B-21.6. The cost rates can
be obtained from the Office of the Controller. Purchase of
Medical Care Services. S e rvic e s S e ction. PO Box 276 8 7. 29602.
Raleigh, NC 27611 76 8 7. 27626-0602.
Authority G.S. 130A-5(3); 130A-124: 130A-127; 130A-129;
130.4-205: 130.4-223.
.0403 REIMBURSEMENT FOR PROFESSIONAL,
OUTPATIENT, OTHER SERVICES
(a) The Department shall reimburse providers of authorized
outpatient services, professional services, and all other services
not otherwise covered in the rules of this Section at the Medicaid
rate in effect at the time the claim is received by the Department,
except in the Migrant Health Program.
(b) TTie Migrant Health Program shall reimburse providers of
program covered authoriz e d outpatient, professional, and other
services at the Medicaid rate in effect at the time the claim is
received minus the allowable patient copayment to a maximum
program payment of one hundred fifty dollars ($150.00) per
claim, per date of service. The allowable patient copayment is
three dollars ($3.00) for each prescribed drug and five dollars
($5.00) per claim, per date of service for all other services. The
one hundred fifty dollar ($150.00) limit shall not apply to drugs,
medical supplies, and durable medical equipment.
Authority G.S 130A-5(3): 130A-124; 130A-127; 130A-129;
130A-205; 130A-223.
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NOR TH CAROLINA REGISTER July 15,1 998
245
PROPOSED RULES
.0404 REIMBURSEMENT FOR SERVICES NOT
COVERED BY MEDICAID
(a) The Department shall reimburse providers of authorized
mobilit\ systems (including components and accessories),
environmental control units, and custom seating systems for
which there are no Medicaid reimbursement rates at the
manufacturer's catalog price less five percent.
(b) The Department shall reimburse providers of authorized
prosthetics and orthotics at the Medicare rate of reimbursement
when there is no Medicaid rate of reimbursement for the item.
When there is neither a Medicaid rate nor a Medicare rate for the
item, the Department shall reimburse at the provider's usual
charge to the general public.
(c) The Department shall reimburse providers of authorized
equipment repair services for which there are no Medicaid
reimbursement rates at forty five dollars ($45.00) per hour.
(d) The Department shall reimburse physicians and dentists
for authorized services for which there are no Medicaid rates at
the Medicaid rate for a comparable procedure as determined by
the program's medical director or at 80 percent of the amount
billed, whichever is less.
(e) The Department shall reimburse providers of authorized
assistive listening devices and those types of hearing aids for
which there are no Medicaid rates at invoice cost plus the
Medicaid dispensing fee for a new hearing aid(s).
(f) The Department shall reimburse providers of authorized
amplification-related services for which there are no Medicaid
rates at the rates paid for audiology services under Medicaid's
Independent Practitioner Program.
(g) The Department shall reimburse providers of authorized
services not otherwise specified in this Section, for which there
are no Medicaid reimbursement rates, at the provider's usual
charge to the general public.
(h) The Department shall reimburse providers under the
Migrant Health Program at the rates specified in thjs Rule.
Services do not have to first be authorized: hov\ever.
reimbursement is contingent upon client eligibilit\. the provision
of services covered by the program, and availability of funds.
Authohn- G.S. 130.4-5(3):
130.4-205.
130.4-124: 130.4-12': 130.4-129:
TITLE 21 - OCCUPATIONAL LICENSING
BOARDS
CHAPTER 14 - BOARD OF COSMETIC
ART EXAMINERS
Notice is hereby given in accordance with G.S. 150B-21.2
that the S.C. State Board of Cosmetic Art Examiners
intends to amend rule cited as 21 NC.4C 141 . 010'. Notice of
Rule-making Proceedings was published in the Register on May
15. 1998.
A Public Hearing will be conducted at 1:00 p.m. on August 12,
1998 at the N.C. State Board of Cosmetic Art Examiners, 1201-
110 Front St.. Raleigh. NC 27609.
Reason for Proposed Action: To eliminate students from
enrolling in more than one school at the same time.
Comment Procedures: Written comments concerning this
rule-making action must be submitted by August 14, 1998 to Dee
Williams. Rule-Making Coordinator. NC State Board of
Cosmetic Art Examiners. 1201-1 10 Front. Raleigh, NC 27609.
Fiscal Note: This Rule does not affect the expenditures or
revenues of state or local government funds. This Rule does not
have a substantial economic impact of at least five million
dollars (55,000,000) in a 12-month period.
SUBCHAPTER 141 - OPERATIONS OF
SCHOOLS OF COSMETIC ART
SECTION .0100 - RECORD KEEPING
.0107 REPORT OF ENROLLMENT
(a) A cosmetic art school shall report cosmetology
enrollments to the Board not later than 30 working days after a
student enrolls in school. A cosmetic art school shall report
manicurist enrollments to the Board not later than 15 working
days after a student enrolls in school. If a student's enrollment
is not reported within 30 working days for cosmetology and 15
working da\'s for manicurist, the cosmetic art school shall file
a copy of the student's daily time records when it reports the
student's enrollment.
(b) A student whose enrollment has not been properly
reported to the Board will not be accepted for either the
cosmetology examination or the manicurist and no hours will be
credited.
(€^ — Examiners' Stat e m e nt of Purpos e for Cosm e tic Art
Education shall bo given to e ach stud e nt at th e tim e of
enrollm e nt. An acknowl e dgment of r e c e ipt of this ahall b e
s ign e d by the s tud e nt and kept by th e cosm e tic art school with
the p e rman e nt r e cords of th e stud e nt.
(c) A student can only be enrolled in one school during any
given time period.
Authority- G.S 88-23: 88-30.
********************
CHAPTER 46 - BOARD OF PHARMACY
Notice is hereby given in accordance with G.S. 150B-21.2
that the North Carolina Board of Pharmacy intends to
amend rule cited as 21 NCAC 46 . 1804. Notice of Rule-making
Proceedings was published in the Register on November 3,
1997.
Proposed Effective Date: .4pnl 1. 1999
Proposed Effective Date: .4ugust 1, 1999
246
NORTH CAROLINA REGISTER
July 15, 1998
13:2
PROPOSED RULES
A Public Hearing will be conducted at 10:00 a.m. on
September 14, 1998 at the Institute of Pharmacy, Auditorium,
109 Church Street, Chapel Hill, NC 27516.
Reason for Proposed Action: To prohibit the alteration of
prescription orders by a party outside the practitioner-
pharmacist-patient relationship and to spec iff requirements for
delivery of prescription drugs, devices, and medical equipment
to a patient off site.
Comment Procedures: Persons wishing to present oral data,
views or arguments on a proposed rule or rule change, may file
a notice with the Board at least 10 days prior to the public
hearing at which the person wishes to speak. Comments should
be limited to 10 minutes. The Board's address is PO Box 459.
Carrboro, NC 27510-0459. Written submission of comments or
argument will be accepted at any time up to and including
September 14, 1998.
Fiscal Note: These Rules do not affect the expenditures or
revenues of state or local government funds. These Rules do
have a substantial economic impact of at least five million
dollars ($5,000,000) in a 1 2-month period
SECTION .1800 - PRESCRIPTIONS
.1804
PRESCRIPTION: RECEIVING AND
DISPENSING
(a) In order to assure that the practitioner-pharmacist-patient
relationship exists and to promote the safe and secure
distribution of drugs and devices, prescription orders may be
received for fiihng and refilHng only by a pharmacist or a bona
fide employee of the pharmacy. The pharmacist-manager of the
pharmacy shall be ultimately responsible for the safe, lawful and
secure receipt of prescription orders and delivery of prescription
drugs. Notwithstanding the provisions of this Rul e , pr e scription
drugs also may b e d e liv e r e d by mail in accordanc e with th e
provisions of Rul e 21 NCAC 16.1601(7). A party outside the
practitioner-pharmacist-patient relationship may not cause or
attempt to cause the alteration of a prescription order.
(b) In order to promote the safe and secure distribution of
drugs, devices, and medical equipment, prescription orders may
be received for filling and refilling only by the person in charge
of the facility holding the device and medical equipment permit
or a bona fide employee of the facility. The person in charge
shall be ultimately responsible for the safe, lawful and secure
receipt of prescription orders and delivery of prescription drugs,
devices, and medical equipment.
(c) Prescription drugs, devices and medical equipment may be
delivered off site to the patient, by mail or otherwise, including
deliveries by pharmacies permitted under G.S. 90-85.21 A. if at
the time of delivery, the permit holder or delivery agent obtains
the signature of a person accepting delivery on behalf of the
patient. The document bearing the signature or a copy shall be
maintained in the pharmacy for three years with the other records
concerning the dispensing of the prescription drugs, devices or
medical equipment and be readily retrievable. Deliveries from
one health care facility pharmacy to another or within a health
care facility are not governed by this Paragraph.
Authoriti' G.S 90-85.6: 90-85.21 A: 90-85.32.
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NORTH CAROLINA REGISTER
Julv 15, 1998
247
TEMPORAR Y R ULES
The Codifier oj Rules has entered the following temporaiy ruleis) in the Xorth Carolina Administrative Code. Pursuant
to G.S. 150B-2 1.1(e), publication of a temporary rule in the S'orth Carolina Register serves as a notice of rule-making
proceedings unless this notice has been previously published by the agency.
TITLE 10 - DEPARTMENT OF HEALTH
AND HUMAN SERVICES
Rule-making Agency: DHHS - Division of Medical Assistance
Rule Citation: 10 \C.4C 26H .0401
Effective Date: July 22. 1998
Findings Reviewed and Approved by: Julian Mann 111
Authority for the rule-making: G.S. 108A-25(b)
Reason for Proposed Action: To rebase Medicaid allowables
utilizing updated Resource Based Relative Value System
(RBRVS).
CHAPTER 26 - MEDICAL ASSISTANCE
SUBCHAPTER 26H - REIMBURSEMENT PLANS
SECTION .0400 - PROVIDER FEE SCHEDULES
.0401 PHYSICIAN'S FEE SCHEDULE
(a) Effective Januar. 1. 1995. (see Paragraph (b) of this Rule)
ph> sicians' ser% ices whether furnished in the office, the patient's
home, a hospital, a nursing facilit> or elsewhere will be
reimbursed based on the North Carolina Medicaid Fee Schedule,
except for pa\ments to the \arious Medical Faculty Practice
Plans of the L'ni\ersit\ of North Carolina - Chapel Hill and East
Carolina Uni\ersit> which will be reimbursed at cost and cost
settled at \ ear end. Effecti\e Januan. L 1998. the Th« North
Carolina Medicaid Fee Schedule is based on the Medicare Fee
Schedule Resource Based Relatise Value System (RBRVS). in
effect in fiscal \ ear 1993 1997 [as adopted by. Medicare at 56
F.R. 59501 (November 2x 1991. effecti\e Januar\ L 1992.
applicable to ser%ices furnished beginning January J^ 1992)]. but
with the following clarifications and modifications:
(1) A maximum fee is established for each service and is
applicable to all specialties and settings in which the
ser% ice is rendered. Pasment is equal to the lower of
the maximum fee or the pro\ iders customary charge
to the general public for the particular service
rendered.
(2) Fees are established on a statewide basis using the
Medicare Geographic Practice Cost Indices for North
Carolina.
(3) There will be no transition period in appKing the
Medicaid fees whereas Medicare has a fl\e year
phase-in period.
(4) Annual changes in the Medicaid pa\ments will be
applied each January 1 and fee increases will be
applied based on the forecasted Gross National
Product (GNP) Implicit Price Deflator. Said annual
changes in the Medicaid payments shall not exceed
the percentage increase granted by the North Carolina
General AssembK.
(5) Fees for ser\ices deemed to be associated with
adequac) of access to health care services may be
increased based on administrative review . The service
must be essential to the health needs of the Medicaid
recipients, no other comparable treatment available
and a fee adjustment must be necessary to maintain
physician participation at a level adequate to meet the
needs of .Medicaid recipients. A fee may also be
decreased based on administrative re\iew if it is
determined that the fee ma\ exceed the Medicare
allowable amount for the same or similar ser\ ices, or
if the fee is higher than Medicaid fees for similar
ser\ices. or if the fee is too high in relation to the
skills, time, and other resources required to provide
the particular sen. ice.
(6) Fees for new ser\ices are established based on this
Rule, utilizing the most recent RBRVS. if applicable.
If there is no relative value unit (RVU) available from
Medicare, fees w ill be established based on the fees
for similar services. If there is no RVU or similar
sen.ice. the fee will be set at 75 percent of the
pro\ ider's customary charge to the general public.
(b) This reimbursement limitation shall become effecti\e in
accordance with the provisions of G.S. 108A-55(c). These
changes to the PhNsician's Fee Schedule allowables will become
effective when the Health Care Financing Administration. U.S.
Department of Health and Human Ser\ices. approves
amendment to HCF.A b\ the Director of the Di\ision of Medical
Assistance on or about Januar\ 1. 1998 as =MA 98-07. wherein
the Director proposes amendments of the State Plan to amend
Physician's Fee Schedule.
History Sote: Authority G.S. 108A-25fb):
Eff. October 1. 1982:
.Amended Eff. July 1. 1995: January 4. 1993: June 1. 1990:
December I. 1988:
Temporary .Amendment Eff. January 22. 1998:
Temporar\- .Amendment Eff. July 22. 1998.
248
\ORTH C.4ROLI.\A REGISTER
July 15. 1998
13:2
APPROVED RULES
This Section includes the Register Notice citation to Rules approved by the Rules Review Commission (RRC) at its meeting of
May 21, 1998 pursuant to G.S. 150B-21. 1 7(a)(1) and reported to the Joint Legislative Administrative Procedure Oversight
Committee pursuant to G.S. 150B-21.16. The full text of rules are published below when the rules have been approved by RRC
in a form different from that originally noticed in the Register or when no notice was required to be published in the Register.
The rules published in full text are identified by an * in the listing of approved rules. Statutory Reference: G.S. 150B-21. 1 7.
These rules unless othemise noted, will become effective on the 3 1st legislative day of the 1998 Short Session of the General
Assembly or a later date if specified by the agency unless a bill is introduced before the 31st legislative day that specifically
disapproves the rule. If a bill to disapprove a rule is not ratified, the rule will become effective either on the day the bill receives
an unfavorable final action or the day the General Assembly adjourns. Statutory reference: G.S. 1508-21. 3.
APPROVED RULE CITATION
REGISTER CITATION TO THE
NOTICE OF TEXT
02
NCAC
34
.0404*
10
NCAC
30
.0207
10
NCAC
41F
.0707
10
NCAC
41F
.0813
10
NCAC
47A
.0502
10
NCAC
47B
.0303 - .0304
10
NCAC
47B
.0305*
10
NCAC
47B
.0403*
15A
NCAC
lOF
.0303*
21
NCAC
68
.0305*
12
14 NCR 1242
12
14 NCR 1347
12
11 NCR 938
12
11 NCR 938
12
11 NCR 939
12
11 NCR 939
12
11 NCR 939
12
11 NCR 939
not required, G.S. 1508-21. 5(b)(1)
12
15 NCR 1426
TITLE 2 - DEPARTMENT OF AGRICULTURE
CHAPTER 34 - STRUCTURAL PEST CONTROL
DIVISION
SUBCHAPTER 47B - ELIGIBILITY
DETERMINATION
SECTION .0300 - COVERAGE
SECTION .0400 - PUBLIC SAFETY
.0404 NOTIFICATION
The licensee or the certified applicator and their employees
shall reveal the name, active ingredient(s), formulation, and EPA
Registration No. of any pesticide applied on any property, on
request to:
( 1 ) the client or his authorized agent, the property owner
or occupants;
(2) a physician or other emergency medical personnel;
(3) the Committee; or
(4) the Division.
.0305 CD-SA: CERTAIN DISABLED
CD-SA coverage shall be provided only for persons who are:
( I ) ineligible for SSI and are not receiving SSI;
in need;
not inmates of correctional facilities;
not patients in institutions for mental disease;
residing in North Carolina voluntarily with the intent
to remain and meet the North Carolina residency
requirement for Special Assistance;
U.S. citizens or aliens lawfully admitted for
permanent residence; and
(7) not receiving Medicaid for the same month.
(2)
(3)
(4)
(5)
(6)
History Note: Authority^ G.S. 106-65.29:
Eff. July 1, 1976:
Readopted Eff. November 22. 1977:
Amended Eff April L_ 1999: August I, 1980.
TITLE 10 - DEPARTMENT OF HEALTH
AND HUMAN SERVICES
CHAPTER 47 - STATE/COUNTY SPECIAL
ASSISTANCE FOR ADULTS
HistoiyNote: Authority G.S 108A-25: 108A-41(b):
1438-153:
Eff.Januaiyl. 1983:
Amended Eff. November 2, 1992: February 1, 1986;
Temporary Amendment Eff. October 28, 1997;
AmendedEff. April 1. 1999.
SECTION .0400 - ELIGIBILITY FACTORS
.0403 RESIDENCE
(a) State Residence Eligibility Requirement. An individual
must be a resident of North Carolina and meet the requirements
13:2
NORTH CAROLINA REGISTER
July 15, 1998
249
APPROVED RULES
in G.S. 108A-4 1(b)(3) to be eligible for Special Assistance.
(b) Moving Into, Visiting In, or Moving Out of North
Carolina.
(1) Moving into or visiting in North Carolina from other
states.
(A) An individual who moves to or visits in North
Carolina cannot be Group 1 regardless of his
status in the previous state.
(B) If an individual moves to North Carolina
voluntarily and states his intent to remain, he is
a resident of North Carolina. This includes
anyone who enters North Carolina because of
a job commitment or seeking work but is not
receiving assistance from another state. He
must apply at the county department of social
services in the county in which he resides.
(C) An individual visiting in the state without a
stated intent to remain is ineligible for Special
Assistance.
(2) An individual who moves to another state and intends
to remain there is not eligible for Special Assistance.
(c) County Residence Eligibility Requirement.
( 1 ) An individual ordinari ly has residence in the county in
which he resides. However, if he is in a hospital,
mental institution, intermediate care facility, skilled
nursing home, boarding home, confinement center or
similar facility, the county in which the facility is
located may not be his legal residence. Except for
Subparagraphs (2) and (3) of this Paragraph, the
count)' of legal residence would be the county in
which the individual lived in private living
arrangements prior to entering a facility.
(2) A woman in domiciliary care has the county residence
of her husband.
(3) If a disabled adult child (DAC) has remained in a
facility (Example: domiciliary care), he remains a
resident of the county and state in which his parent(s)
had residence immediately prior to his reaching age
18. If he as an adult is entering domiciliary care and
it is not possible to trace his county of residence as a
minor, he may establish residence based on his intent
to remain regardless of his parent's current legal
residence.
(d) Temporary Absence.
(1) A domiciliar> care applicant or recipient shall not
receive Special Assistance for days he is not living in
the rest home unless he is expected to return within 30
days.
(2) Temporary absence from the state or county of
residence with subsequent return or intent to return
does not make a Certain Disabled recipient in a
private living arrangement ineligible.
(e) Verification. The worker shall accept the applicant's or
recipient's statement unless there is some reason to doubt it. If
there is doubt, documentar) evidence shall be required. If a
Certain Disabled recipient's visit to another county within the
state or to another state exceeds three months, the eligibility
specialist in the responsible county shall verify the following:
(1 ) the recipient's intent to return;
(2) reason for the continuing absence; and
(3) the continuing maintenance of a home in the first
county.
History Note: Authority G.S. I08A'41; 108A-41(h); 143B-
153;
Eff January 1. 1983:
Amended Eff. June 1. 1990:
Temporary Amendment Eff. October 28, 1997;
Amended Eff. April l . 1999.
TITLE 15A - DEPARTMENT OF ENVIRONMENT
AND NATURAL RESOURCES
CHAPTER 10 - WILDLIFE RESOURCES AND
WATER SAFETY
SUBCHAPTER lOF - MOTORBOATS AND
WATER SAFETY
SECTION .0300 - LOCAL WATER
SAFETY REGULATIONS
.0303 BEAUFORT COUNTY
(a) Regulated Areas. This Rule applies to the following
waters in Beaufort County:
( 1 ) that portion of Broad Creek bounded on the north by
a line running due east and west across Broad Creek
through a point 1400 feet due north of Red Marker
No. 6, on the south by a line running east and west
across Broad Creek through the location of Red
Marker No. 4, on the east and west by the high-water
mark on Broad Creek:
(2) that portion of Blounts Creek 100 yards on either side
oftheSR 11 12 Bridge;
(3) that portion of Blounts Creek beginning 100 yards
below the Old Crist Landing and extending upstream
to the NC 33 bridge;
(4) the waters of Battalina Creek, within the territorial
limits of the Town of Belhaven;
(5) the navigable portion of Nevils Creek extending
upstream from its mouth at the Pamlico River; and
(6) that portion of Blounts Creek beginning 50 yards on
the south side and 300 yards on the north side of the
Blounts Creek Bridge.
(b) Speed Limit. It is unlawful to operate a vessel at greater
than no-wake speed in the regulated areas described in
Paragraph (a) of this Rule.
(c) Placement and Maintenance of Markers. The Board of
Commissioners of Beaufort County and the City Council of the
City of Washington are designated as suitable agencies for
placement and maintenance of the markers implementing this
Rule.
History Note: Authority G.S. 75A-3; 75A-15:
Eff. February 1. 1976;
250
NORTH CAROLINA REGISTER
Ju/v 15, 1998
13:2
APPROVED RULES
Amended Eff. June L 1998; April 1. 1997; June 1, 1989; March
1, 1987; April 1. 1986; March 4. 1979.
TITLE 21 - OCCUPATIONAL LICENSING
BOARDS
CHAPTER 68 - CERTIFICATION BOARD FOR
SUBSTANCE ABUSE PROFESSIONALS
SECTION .0300 - CLINICAL SDDICTIONS
SPECIALIST
.0305 CERTIFICATION REQUIREMENTS FOR
INDIVIDUAL APPLICANT
In addition to meeting the requirements of G.S. 90-1 13.40, an
applicant seeking certification as a clinical addictions specialist
shall submit the following, if applicable:
(1) Documentation evidencing membership in good
standing in the professional discipline if seeking
certification pursuant to Sections 17 or 18;
(2) Documentation evidencing that 12 hours of
HIV/AIDS training and education and six hours of
professional ethics training were included in the 180
hours completed for certification in the core
competencies by the applicant not in the deemed
status group;
(3) Copy of a substance abuse specialty certificate or its
equivalent;
(4) Copy of his or her masters' or doctorate degree
diploma;
(5) Completed registration form; and
(6) Payment of the following fees:
(a) All applicants who are in the deemed status
group shall make payment of a non-refundable
application fee of ten dollars ($10.00) and
payment of a non-refundable certification fee
offorty dollars ($40.00).
(b) All other applicants shall make payment of a
non-refundable application fee of twenty-five
dollars ($25.00) and payment of a non-
refundable certification fee of one hundred
dollars ($100.00).
(c) All applicants seeking certification pursuant to
Criteria A of G.S. 90-1 13.40(c) shall make
payment of a non-refundable written
examination fee of one hundred dollars
($100.00) and payment of a non-refundable
oral examination fee of one hundred dollars
($100.00).
(d) All applicants seeking certification pursuant to
Criteria B of G.S. 90-1 13.40(c) shall make
payment of a non-refundable written
examination fee of one hundred dollars
($100.00).
(e) All applicants seeking certification pursuant to
Criteria C of G.S. 90-1 13.40(c) shall make
payment of a non-refundable oral examination
fee of one hundred dollars ($100.00).
History Note: Authority G.S. 90-113.30; 90-113.33; 90-
113.38; 90-113.40; 90-113.41; 90-113.43;
Tertjporary .Adoption Ejf. November 15, 1997;
Eff. .April ' 1 . 1999.
13:2
NORTH CAROLINA REGISTER
July 15, 1998
251
RULES REVIEW COMMISSION
1 his Section contains the agenda for the next meeting of the Rules Review Commission on Thursdaw July 23, 1998. 10:00
a.m. . at 1307 Glenwood .Ave.. .Assembly Room. Raleigh. NC. .Anyone wishing to submit written comment on any rule before
the Commission should submit those comments to the RRC staff, the agency, and the individual Commissioners by Monday.
July 20. 1998. at 5:00 p.m. Specific instructions and addresses may be obtained from the Rules Reviev,- Commission at 919-
''33-2''21. .Amone wishing to address the Commission should notif- the RRC staff and the agency at least 24 hours prior to
the meeting.
RULES REVIEW COMMISSION MEMBERS
Appointed by Senate
Teresa L. SmalKvood. Vice Chairman
Jim Funderburke
Vemice B. Howard
Philip O. Redwine
David Twiddy
Appointed by House
Paul Powell, Chairman
Anita White, 2"" Vice Chairman
Mark Garside
Steve Rader
George Robinson
RULES REVIEW COMMISSION MEETING DATES
July 23, 1998
August 20, 1998
September 17. 1998
October 15, 1998
November 19. 1998
MEETING DATE: JULY 23, 1998
LOG OF FILINGS
RULES SUBMITTED: MAY 20, 1998 THROUGH JUNE 20, 1998
AGENCY/DIVISION RULE NAME
DHHS/SECRETARY OF DHHS
Governor Morehead School Campus Parking
DHHS/DIVISION OF MEDICAL ASSISTANCE
Rate Setting Methods
DRG Rate Setting Methodolog>
Phvsician's Fee Schedule
RULE CITATION
10NCAC21B.0117
10NCAC06H.0102
10NCAC06H.0211
10NCAC26H .0401
ACTION
Adopt
Amend
Amend
Amend
DENR/COASTAL RESOURCES COMMISSION
Use Standards
15NCAC07H .0310 Amend
DENRAVILDLIFE RESOURCES COMMISSION
Brunswick County
Granville. Vance & Warren Counties
StanK Count}
Montgomery County
DENR/COMMISSION FOR HEALTH SERVICES
Definitions
Persistent Elevated Blood Lead Level
Examination and Testing
Investigation
Lead Poisoning Hazard
Abatement and Remediation
15NCAC lOF
0305
Amend
15NCAC lOF
0311
Amend
15NCAC lOF
0317
Amend
15NCAC lOF
0327
Amend
15NCAC 18A
.3101
Amend
15NCAC 18A
.3102
Amend
15NCAC 18A
.3103
Amend
15NCAC 18A
.3104
Amend
15NCAC 18A
.3105
Amend
15NCAC 18A
.3106
Amend
252
NORTH CAROLINA REGISTER
July 15, 1998
13:2
RULES REVIEW COMMISSION
Maintenance Standard
Application and Issuance of Certificate
Revocation and Denial of Certifiate
Monitoring
Resident Responsibilities
COSMETIC ART EXAMINERS, BOARD OF
Address
OFFICE OF ADMINISTRATIVE HEARINGS
Content and Filing Procedures
15NCAC 18A.3107 Adopt
15NCAC 18A.3108 Adopt
15NCAC 18A.3109 Adopt
15NCAC 18A.3110 Adopt
15NCAC 18A.3111 Adopt
21 NCAC 14A.0104 Amend
26 NCAC 04 .0202
Amend
RULES REVIEW COMMISSION
June 18,1998
MINUTES
The Rules Review Coinmission met on June 1 8, 1998. in the Rules Review Commission Conference Room of the Methodist Building,
1307 Glenwood Avenue, Raleigh, North Carolina. Commissioners in attendance were Vice Chairman Teresa L. Smallwood, Vemice
B. Howard, George S. Robinson, Jim R. Funderburk. Steven P. Rader, and David R. Twiddy (by phone).
Staff members present were: Joseph J. DeLuca, Staff Director; Bobby Bryan, Rules Review Specialist; and Sandy Webster.
The following people attended:
Valerie Chaffm
Charlotte Hall
Hunton & Williams
DHHS/MH/DD/SAS
APPROVAL OF MINUTES
The meeting was called to order at 10:20 a.m. with Vice Chairman Smallwood presiding. She asked for any discussion, comments,
or corrections concerning the minutes of the May 21, 1998 meeting. There being none, the minutes were approved.
FOLLOW-UP MATTERS
10 NCAC 41 A .0007 - DHHS/Social Services Commission: The agency responded that they needed additional time and would
respond at next month's meeting.
10 NCAC 47B .0102 - DHHS/Social Services Commission: The rewritten rule submitted by the agency was approved by the
Commission.
12 NCAC 7D .0204 - JUSTICE/NC Private Protective Services Board: The rewritten rule submitted by the agency was approved
by the Commission
12 NCAC 7D .1 106 - JUSTICE/NC Private Protective Services Board: The rewritten rule submitted by the agency was approved
by the Commission
15A NCAC lOG .0404 - DENRAVildlife Resources Commission: The extended period of review had expired. The Commission
objected to this rule due to lack of statutory authority and ambiguity. This objection applies to existing language in the rule.
LOG OF FILINGS
ViceChairman Smallwood presided over the review of the log and all rules were approved with the following exceptions:
10 NCAC 14G .0102 - DHHS/Commission for MH/DD/SAS: The Commission objected to this rule due to lack of statutory authority
and ambiguity. In (b)(41)(B), it is not clear what protective intervention techniques are specified in the "Protective Intervention
13:2
NORTH CAROLINA REGISTER
Julv 15, 1998
253
R ULES RE VIE W COMMISSION
Course Manual." There is no authority for limiting what is meant by "restraint" outside of rulemaking. The added sentence in (b)(42)
is unclear. The provision is a definition of "seclusion." The sentence is written as a list of three things that are not "seclusion," but
the last two appear to be simations when "seclusion" should not be used rather than a limitation on the term. This objection applies
to existing language in the rule.
COMMISSION PROCEDURES AND OTHER MATTERS
The next meeting will be on July 23. 1998 which is one week later than normal.
The meeting adjourned at 10:40 a.m.
Respectfully submitted,
Sand\ Webster
254 NORTH CAROLINA REGISTER July 15, 1998 13:2
CONTESTED CASE DECISIONS
1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an index
to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. Copies of the
decisions listed in the index and not published are available upon request for a minimal charge by contacting the Office of
Administrative Hearings, (919) 733-2698.
OFFICE OF ADMINISTRATIVE HEARINGS
Chief Administrative Law Judge
JULIAN MANN, III
Senior Administrative Law Judge
FRED G. MORRISON JR.
ADMINISTRA TIVE LA W JUDGES
Brenda B. Becton
Sammie Chess Jr.
Beecher R. Gray
Melissa Owens
Meg Scott Phipps
Robert Roosevelt Reilly Jr.
Dolores O. Smith
AGENO
ALCOHOLIC BEVERAGE CONTROL COMMISSION
Alcoholic Beverage Control Commission v Jesse Jacob Joyner, Jr
CASE
NIMBER
97 ABC 1438
ALJ
Phipps
CRIME CONTROL AND PUBLIC SAFETY
Marcella Skaggs v Crime Victims Compensation Commission 98 CPS 0065 Owens
Talmadge E McHenrv v Crime Victims Compensation Commission 98 CPS 01 16 Gray
Mia Thompson-Clark V Crime Victims Compensation Commission 98 CPS 0349 Chess
ENVIRONMENT AND NATl RAL RESOl RCES
John M Silvia V Department of Environment and Natural Resources 97EHR1646 Chess
Roberto Goff, Sr v Department of Environment and Natural Resources 98EHR0072*- Gray
Scotland Water. Cedar Circle V Environment and Natural Resources 98 EHR 0236 Smith
Robert G Goff, Sr v Department of Environment and Natural Resources 98 EHR 0448*- Gray
HEALTH AND HI MAN SERVICES
Stanley C Ochulo v OfT/Administrative Hearings, Mr R Marcus Lodge 98DHR0021 Reilly
Louise Streaterv Health and Human Services 98DHR0I96 Gray
Division of Facility Services
Sunlite Retirement Home. Winnie Jane Johnson v DHR, Facility Services 98 DHR 0124 Phipps
Ann Davis Rest Home v Group Care Licensure Section 98DHR0197 Phipps
Diane Lingard v DHR. Facility Svcs, Health Care Personnel Reg 98 DHR 0214 Becton
Kimberly Annette Smith Hull V DHHS. Division of Facility Services 98 DHR 0239 Phipps
Deborah Ann Holt v DHHS, Division of Facility Services 98 DHR 0348 Phipps
Division of Social Services
Child Support Enforcement Section
Jefferv' Lee Graves v Department of Human Resources
Donald L Carr. Jr v Department of Human Resources
Marvin Diggs v Department of Human Resources
Dennis Lee McNeill v Department of Human Resources
Billy Anthony Jr v Department of Human Resources
Alton D Bagley v Department of Human Resources
Bemel B Beny Jr v Department of Human Resources
Anthony Montgomerv' v Department of Human Resources
Terry Letterman v Department of Human Resources
DATE OF
DECISION
06/19/98
06/05/98
06/24/98
05/14/98
06/03/98
06/25/98
06/09/98
06/25/98
06/24/98
06/03/98
06/11/98
06/23/98
06/22/98
06/23/98
06/22/98
PUBLISHED DECISION
REGISTER CIT.4TION
98CRA0137
Becton
06/23/98
98CRA0545
Reilly
06/08/98
98 CRA 0588
Reillv
06/24/98
96CSE1305
Gray
06/22/98
97CSE1393
Reilly
06/24/98
97CSE 1424
Chess
06/02/98
97 CSE 1435
Smith
06/12/98
97 CSE 1442
Phipps
06/17/98
97 CSE 1492
Smith
06/22/98
13:2
NORTH CAROLINA REGISTER
July 15, 1998
255
CONTESTED CASE DECISIONS
AGENCY
Paul J Moble\,Jr v Department of Human Resources
Wade A Burgess v Department of Human Resources
Renardo Jenkins v Department of Human Resources
Anthony Love v Department of Human Resources
Steven Kent Gold v Department of Human Resources
Tabatha D Pate v Department of Human Resources
Charlie Gray Hunt Jr v Department of Human Resources
Robert L WtllLams v Department of Human Resources
Barbara Fanta-Blandme v Department of Human Resources
Terita M Sharpe v Department of Human Resources
CASE
DATE OF
NUMBER
AU
DECISION
97CSE 1568
Phipps
06/17/98
98CSE0071
Morrison
06/12/98
98CSE0310
Smith
06/23/98
98CSE0312
Phipps
06/23/98
98CSE0333
Morrison
07/01/98
98CSE0556
Becton
06/23/98
98 CSE 0607
Smith
06/22/98
98 CSE 0682
Smith
06/22/98
97 DCS 1486
Mortison
06/22/98
98 DCS 0468
Mortison
06/09/98
PIBLISHED DECISION
REGISTER CITATION
JllSTICE
Education and Training Standards Division
Odis Fitzgerald Darden V SheritTs' Education & Training Standards Comm 97 DOJ 1698 Reilly
William Scott Kev v Sheriffs' Education & Trainine Standards Comm 98 DOJ 0432 Becton
06/12/98
06/08/98
STATE PERSONNEL
Department of Correction
Carl W Craven. II v Pender Cortectional Institution
Crime Control and Public Safety
Roger D Davis \ Crime Control & Public Safety. St Hwy Patrol
Employment Security Commission
Jane B Bolin and Arlene G Sellers v Employment Security Commission
Jane B Bolin and Arlene G Sellers v Employment Security Commission
Environment and Natural Resources
Charles .Anthony Bruce v ENR. Division of Parks and Recreation
Health and Human Services
Ruth Holroyd v Montgomery Cty DSS. Children's Senices
Anthony M Ruiz v Department of Health & Human Svcs, Youth Svcs
University of North Carolina
Deborah J Fenner v NC Central University
Douglas Love. Jr \ UNC Hospitals
STATE TREASl RER
Hugh A Wells v Consolidated Judicial Retirement System of NC.
Bd. of Trustees Teachers and State Employees' Retirement System
98OSP0633
Smith
06/25/98
97OSP0617
Chess
05/27/98
97 0SP 1122"'
Chess
06/02/98
97 0SP 1134*'
Chess
06/02/98
98 OSP 0240
Reilly
06/08/98
97 DSP 1586
Smith
05/27/98
13 02 NCR
257
98 OSP 0454
Gray
06/04/98
97 OSP 0902
Chess
05/29/98
97 OSP 0662
Reilly
06/08/98
98DST0316
Morrison
06/05/98
13,01 NCR
166
TRANSPORTATION
David Warten Deu et al \ Motor Vehicles. Alexander Killens Comm
95 DOT 1144
Grav
06/04/98
Consolidated Cases.
256
NORTH CAROLINA REGISTER
July 15, 1998
13:2
CONTESTED CASE DECISIONS
STATE OF NORTH CAROLINA
MONTGOMERY COUNTY
IN THE OFFICE OF
ADMINISTRATIVE HEARINGS
FILE NO. 97 OSP 1586
RUTH HOLROYD,
Petitioner,
MONTGOMERY COUNTY DEPARTMENT OF SOCIAL
SERVICES, DEPARTMENT OF CHILDREN'S SERVICES,
Respondent.
ORDER GRANTING SANCTIONS &
DEFAULT JUDGMENT
PETITIONER, having filed a Motion for Sanctions in accordance with N.C. Rules on Civil Procedure 26 and 37 and 26
NCAC 3 .0114 and this Matter being heard on oral argument on May 6. 1998, the undersigned Administrative Law Judge makes the
following:
FINDINGS OF FACT
1. Petitioner filed her Petition for Hearing against Respondent on December 4, 1997. A copy of the Petition was
served on the DSS Director, Ms. Lois Ray at the following address: Montgomery County DSS, 102 East Main
Street, Drawer N, Troy, N.C. 27371-0539.
2. As a matter of professional courtesy. Petitioner also provided a copy of the Petition for Hearing to the Montgomery
County Attorney, Mr. Russ Hollars at the following address: P.O. Box 567, Troy, N.C. 27371. Mr. Hollars has
informed Counsel for Petitioner that Ms. Ray has declined legal representation from his office.
3. On December 9, 1998, the undersigned Administrative Law Judge issued an Order for Pre-Hearing Statements,
which were due by January 8, 1998, and served it upon Counsel for Petitioner and Lois Ray, the Montgomery
County Director of DSS.
4. Petitioner filed her Pre-Hearing Statement of January 8, 1998.
5. Petitioner's First Interrogatories, Request for Production of Documents and First Request for Admissions were
served on March 5, 1998 and received by Respondent on or about March 9, 1998.
6. Respondent's Responses were due on March 24, 1 998, and as of the date of the Motion for sanctions, no Responses
had been received. Respondent did not mark any objections or request for extension.
7. On March 3, 1998, Petitioner issued a Notice of Deposition to Ms. Lois Ray for Wednesday March 18, 1998 at
10:00. The Notice was sent certified mail and received by Respondent on March 4, 1998. Ms. Ray failed to appear
for the deposition. No evidence was offered as to her reasons for failing to appear.
8. After receiving the Motion to Compel & for Sanctions, Respondent filed a Pre Hearing Statement on April 2, 1 998.
9. On April 2, 1998, Respondent filed its Pre Hearing Statement and this was the initial appearance of Kent Trull as
attorney for the Montgomery County Department of Social Services. On April 13, 1998, Respondent attempted
to file an Amended Pre Hearing Statement.
10. On April 10, 1998, Petitioner received Respondent's Response to Petitioner's First Request for Admissions. Also
on April 10, 1998, Petitioner received most of the responses to Petitioner's First Set of Interrogatories and First
13:2
NORTH CAROLINA REGISTER
July 15, 1998
257
CONTESTED CASE DECISIONS
Request for Production of Documents. Under 26 N.C. Admin. Code 3 .01 12(f), discovery responses were due
within "... 15 days from receipt of a notice requesting discovery..." unless an extension is sought or objections are
filed. Therefore, the discovery responses were due on March 24, 1998.
11. At oral argument. Respondent admitted that the discovery responses were untimely.
12. Respondent's evidence as to its failure to file a timely Pre Hearing Statement, to file discovery response and to
appear at the deposition was that the envelopes transmitting such documents had remained Unopened.
13. Respondent retained counsel and made an effort to comply with discovery and the Orders only after the Motion
for Sanctions had been filed.
14. Based on the Statement of Fees Costs which was submitted by Petitioner's counsel, the time and labor expended,
the skill required, the customary fee for like work, the experience and ability of plaintiff s counsel, the services
rendered and the hourly rate of the fees are all determined to be reasonable.
WHEREFORE, the undersigned Administrative Law Judge makes the following:
CONCLUSIONS OF LAW
1. Respondent did not respond to Petitioner's discovery in a timely manner since the Responses were provided after
the Motion for Sanctions and to Compel was filed. Discovery Responses filed after a Motion for Sanctions are still
untimeK and do not prevent imposition of costs. See First Citizens v, Powell, 58 N.C.App. 229, 292 S.E.2d 7-3)
1 (1982). affd3 )07 N.C. 467, 298 S.E.2d 386 (1983); see also. Cheek v. Poole. 121 N.C.App. 370, 465 S.E.2d
561(1996). Therefore. Respondent acted in violation of Rule 12 of the Rules of Procedure of the Office of
Administrative Hearings and contrary to Rule 37 of the N.C. Rules of Civil Procedure.
2. Respondent's failure to file timeK discovery response constitutes a waiver of any objections. Respondent's failure
to request an extension of time or to request a Protective Order also constitutes a waiver.
3. Respondent's failure to file a timeK Pre Hearing Statement is a violation of Orders issued BV an Administrative
Law Judge and therefore a violation of Rule -37(b).
4. Respondent's failure to appear at a deposition is a violation of Rule 37(d).
5. Respondent's failure to comply with the Order for Pre Hearing Statements and with the rules governing discovery
was willful and without good cause.
6. Respondent failed to meets its burden to present sufficient evidence of good cause, substantial justification or other
circumstances to show that an award of expenses would be unjust. Therefore, under Rule 37(a)(4). an award of
attomcN fees for the Motion to Compel and for Sanctions is appropriate.
7. None of the failures of Respondent to act in a timeK and good faith manner should be attributed to Mr. Trull, who
acted diligentK and good faith once he was retained.
8. Petitioner's request for attome> fees and costs in connection with the Motion to Compel and for Sanctions is hereby
granted in the amount of $484.00 in attorney fees and $65.77 in costs (court reporter's fee and certified mail fee).
Based on the Affidavit of Fees & Costs which was submitted by Plaintiff the time and labor expended, the skill
required, the customary fee for like work, the experience and ability of plaintiff s counsel, the services rendered
and the hourK rate of the fees are all determined to be reasonable.
9. Under Rule .01 14(a) and Rule 37(b)(2)c. the undersigned Administrative Law Judge issues a Default Judgment and
Sanctions against Respondent such that;
A. It is herebN determined that the issues and allegations in the Petition for Hearing and Pre Hearing
Statement are taken as true;
B. An\ documentar\ evidence at the hearing of this matter or oral testimony by Respondent's wimesses
258 NORTH CAROLINA REGISTER July 15, 1998 13:2
CONTESTED CASE DECISIONS
is hereby excluded;
C. Respondent's untimely pleadings, particularly the attempted Amended Pre Hearing Statement are
stricken.
Based upon the above Conclusions of Law, the undersigned makes the following
RECOMMENDED DECISION
1 . Petitioner was not dismissed for just cause and was denied reasonable accommodation for her disability.
2. In accordance with 25 N.C.A.C. 1 B .0428. the Respondent shall reinstate Petitioner into a comparable position to
the one from which she was terminated.
3. In accordance with 25 N.C.A.C. I B .0414(a), the Respondent shall pay attorney fees and costs in an amount that
the State Personnel Commission determines to be reasonable.
4. The Respondent shall remove all information pertaining to Petitioner's dismissal from her personnel file.
ADDENDUM
As noted above, sanctions have been applied against the Respondent. In determining the appropriate remedy, the undersigned
has considered the behavior of the Respondent as well as the harm done to the Petitioner. While the Petitioner has requested back
pay and reinstatement of lost benefits, the undersigned has determined that that remedy is inappropriate under the circumstances. The
Petitioner shall be reinstated and receive attorney's fees which will make her "whole."
However, the Petitioner who was employed at the Respondent Department of Social Services for approximately one month
before being involved in an automobile accident is not, in the undersigned's opinion entitled to back pay from 1997 to 1998. Such
an award would not be equitable to the Respondent and would be a windfall to the Petitioner.
NOTICE
In order to appeal a Final Decision, the person seeking review must file a Petition in the Superior Court of Wake County
or in the superior court of the county where the person resides. The Petition for Judicial Review must be filed within thirty (30) days
after the person is served with a copy of the Final Decision. G.S. 1 50B-46 describes the contents of the Petition and requires service
of the Petitioner on all parties.
This the 27th day of May, 1 998.
Dolores O. Smith
Administrative Law Judge
13:2 NORTH CAROLINA REGISTER July 15, 1998 259
NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM
1 he Xorib Carolina Administrative Code fNCACj has four major subdivisions of rules. Two of these, titles and
chapters, are mandatory. The major subdivision of the XCAC is the title. Each major department in the North
Carolina executive branch of government has been assigned a title number. Titles are further broken down into
chapters which shall be numerical in order. The other two. subchapters and sections are optional subdivisions to
be used by a<^encies when appropriate.
appropr
TITLE/MAJOR DFV ISIONS OF THE NORTH CAROLINA ADMINISTRATFV E CODE
TITLE DEPARTMENT LICENSING BOARDS CHAPTER
1
Administration
Acupuncture
1
->
Agriculture
.Architecture
2
J
Auditor
Athletic Trainer Examiners
3
4
Commerce
Auctioneers
4
5
Correction
Barber Examiners
6
6
Council of State
Certified Public Accountant Examiners
8
7
Cultural Resources
Chiropractic Examiners
10
8
Elections
Emplo\ ee Assistance Professionals
11
9
Governor
General Contractors
12
10
Health and Human Sen ices
Cosmetic .Art Examiners
14
11
Insurance
Dental Examiners
16
12
Justice
Dietetics Nutrition
17
13
Labor
Electrical Contractors
18
14A
Crime Control & Public Safet>
Electrolysis
19
15A
En\ ironment and Natural
Eoresters
20
Resources
Geologists
21
16
Public Education
Hearing Aid Dealers and Fitters
22
17
Re\enue
Landscape -Architects
26
18
Secretap. of State
Landscape Contractors
28
19A
Transportation
Marital and Famih Therap\
31
20
Treasurer
Medical Examiners
32
*21
Occupational Licensing Boards
Midwifen. Joint Comminee
33
-»-)
Administratis e Procedures
Mortuan. Science
34
23
Communit\ Colleges
Nursing
36
24
Independent Agencies
Nursing Home Administrators
37
25
State Personnel
Occupational Therapists
38
26
Administratis e Hearings
Opticians
40
-)7
NC State Bar
Optometry
42
Osteopathic Examination & Reg. (Repealed)
44
Pastoral Counselors. Fee-Based Practicing
45
Pharmacy
46
Phvsical Therapx Examiners
48
Plumbing. Heating & Fire Sprinkler Contractors
50
Podiatry Examiners
52
Professional Counselors
53
Psychology Board
54
Professional Engineers & Land Sur%e\ors
56
Real Estate Appraisal Board
S"
Real Estate Commission
58
Refrigeration Examiners
60
Sanitarian Examiners
62
Social Work Certification
63
Soil Scientists
69
Speech & Language Pathologists & .'^udiologists
64
Substance .Abuse Professionals
68
Therapeutic Recreation Certification
65
\'eterinar\ Medical Board
66
Note: Title 21 contains the chapters of the \arious occupational licensing boards.
260
NORTH CAROLINA REGISTER
July 15, 1998
13:2
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